Sales Management

Objective

To obtain a Financial Advisor position for a registered investment advisor firm.

Experience

Vice President Financial Consultant - Charles Schwab & Co; The Woodlands, TX - 01/2010 - 3/2019

Twenty-one total years of successful sales experience in the financial service industry including sales and service in wealth management, brokerage, banking, insurance, and discretionary money management.

Manage active practice of 396 clients with $692 million in assets with proactive outbound calls and in-office visits including: sales and money management financial planning, annual reviews and market updates.

Posses active FINRA 7, 31, 63, 65 securities license along with active current Texas Group One Life and Health Insurance License.

Sold and transferred- in assets over $200 million into Wealth Management services at Charles Schwab.

Sold discretionary money management services including: Schwab managed portfolios using mutual funds and ETF’s, managed account services and Schwab Adviser Network. Sold non-discretionary money service known as Schwab Private Client.

Identified and qualified suitable financial objectives for clients using Charles Schwab Advisory services by utilizing time horizon, income tax consideration, and risk tolerance.

Analyzed and conducted annual reviews for discretionary money management accounts for over one hundred high net worth clients within the active practice with assets in managed accounts of over $100 million.

Actively pursue referrals to build dynamic business relationships by networking with clients.

Home: 936-***-****

Cell: 210-***-****

***********@*****.***

50 New Dawn Place, The

Woodlands, TX 77385

PAUL CARROLL

Relationship Manager - USAA Wealth Management; San Antonio, TX — 08/1998 - 11/2009

Proactive outbound and inbound reviews of client’s accounts to build relation- ships and to educate clients who were in a deteriorating relationship with USAA with a 92% retention success rate.

Created and held in-house call presentations with Investment Representatives on discretionary money management service Strategic Fund Adviser service. 11 years high net worth experience in Wealth Management in sales and service with Strategic Fund Adviser and Private Investment Management in discretionary money services.

Number one producer in 2005, 2006, and 2007 with new accounts opened in discretionary money management accounts in Strategic Fund Adviser. Analyze and conduct annual reviews for discretionary money money management accounts for more then 400 clients in SFA program with a book of business of $77 million dollars.

Identified and qualified the needs for suitability of USAA Investment Advisory services for objective, time horizon, income tax consideration, and tolerance for risk. Actively pursue referrals from clients for cross sale with insurance, banking, and trust services.

Education

University of New Mexico, Albuquerque, NM — B.A., Economics - 1994 Professional Designations

Passed Cannon Financial Institute Certified Wealth Management Strategist designation (CWS) and passed College for Financial Planning Accredited Asset Management Specialist designation (AAMS). Passed all five comprehensive Colleges for Financial Planning educational courses and will be sitting for the main (CFP) exam.

Computer Skills

Windows Professional, PowerPoint, Excel, Lotus 123, IMS, Client Central, Thompson One Reuters, Bloomberg, Stars, Phase 3, Brokerage GUI, Broker Select, Maxis systems, Microsoft Outlook, Quattro Pro, Microsoft Office, FundQuest, APL, Basic, MAR’s, Salesforce.

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