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Financial Services Professional with 10 Years Experience

San Diego, California, United States
January 09, 2019

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Dustin M. Broughton

**** ***** *****, ** ****, CA 91942 617-***-**** ******.*********@*****.*** WORK EXPERIENCE:


Associate, Mergers & Acquisitions April 2017 – August 2017

• Responsible for sourcing off-market deal flow to top private equity, strategic, and family office investors and managing client and deal pipelines.

• Conducted industry research and recommended industry sub-verticals for client investment strategies. Sourced business that fit investment criteria and conducted outreach to C-Suite executives and business owners to facilitate introductions with clients.

• Worked directly with former executive of ConAgra Refrigerated Foods in conjunction with Frontenac Company on a strategy in the meat and protein space to successfully introduce over ten companies.

• Worked on a general strategy with ICV Partners to assist in finding companies with at least $10MM in EBITDA. Most recently connecting ICV Partners with world famous chef Buddy Valastro.


Private Equity Analyst June 2015 – August 2016

• Worked directly with the CEO and CFO in order to support all aspects of the firm investment efforts in the JCM Opportunity Fund I, LLC.

• Sourced and analyzed investment opportunities in order to generate detailed underwritings and institutional-quality due diligence reports.

• Gained experience in financial modeling as well as reading income statements, balance sheets, and cash flow statements.

• Responsible for all aspects of investor relations, including monitoring fund performance, quarterly investor reporting, frequent conference calls, and end of year tax reporting.

• Ensured compliance with regulatory authorities by meticulously maintaining all fund, client, and legal documents.

• Traveled regularly to meet with prospective clients and research potential deal opportunities.

• Being proactive, self-driven, organized, and a fast learner allowed for the management and completion of multiple tasks with minimal supervision. MORGAN STANLEY Boston, MA

Relationship Manager/Wealth Management Associate May 2011 – May 2015

• Investment Specialist focusing on client relationship management, financial markets, and wealth transfer techniques.

• Conducted due diligence on traditional and alternative investment vehicles including equities, fixed income, options, mutual funds, hedge funds, managed futures, private equity, and structured products.

• Collaborated in the design, investment make-up, and execution of customized client portfolios.

• Prepared quarterly client reviews, end of year tax reporting, and industry research reports.

• Gained experience with multiple alternative investment strategies and research methods by regularly attending AI conferences as well as meeting directly with AI portfolio managers. SCOTTRADE, INC. St. Louis, MO / Boston, MA

Senior Stockbroker/General Principal January 2007 – October 2010

• Sales managed prospects and clients to ensure high levels of client satisfaction and client conversion rates while traveling Scottrade's extensive network of 496 branches.

• Provided management and oversight for branch associates to navigate margin rules, regulatory changes, options strategies, and trading platforms.

• Obtained valuable management and leadership experience training junior brokers. EDUCATION:


Bachelor of Science in Business Administration, Finance September 2002 – May 2006

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