Management Manager

Michael W. Maggi, CFA

• **** Net Drive, Apt #*** • Tampa, FL 33634 • Cell: 516-***-**** • *******.*.*****@*****.***

SUMMARY: Fully registered investment management professional and CFA® charterholder with five years experience working in the

NY metro area in various financial services roles.

PROFESSIONAL EXPERIENCE:

Self-Employed Tampa, FL

Equity Trader September 2012-Present

• Perform top-down and bottom-up equity research using both technical and fundamental analysis to generate positive alpha in

my personal investment account. Utilize catalysts, such as macroeconomic reports and earnings news to trade equities (both

long and short) with varied time horizons, ranging from intraday to 6 months, with some longer-term holdings as well.

UBS Financial Services Stamford, CT

FDG Institutional Consulting Group March 2010-September 2012

Investment Analyst (Voluntary Relocation to FL)

• Managed approximately $600MM in HNW client portfolios through both top-down and bottom-up investment analysis as part

of an overall asset allocation strategy and financial plan across the client book. Investment research performed included

individual equities, mutual funds, ETFs, separately managed accounts, and alternative investments.

• Performed all trading (equities, fixed income, options, and FX) for HNW clients on both a discretionary (approximately

$100MM) and non-discretionary basis, and proactively managed those accounts for investment fees and monthly/quarterly

withdrawals by ensuring sufficient cash amounts were available.

• Prepared and helped implement financial plans for HNW clients using proprietary software to ensure client goals and

objectives remained on track and were achieved.

• Published a quarterly market commentary and outlook for distribution to both HNW and institutional clients.

• Maintained performance spreadsheets of current and past investments in FDG discretionary portfolios, and reported results

to the group on a weekly, monthly, and quarterly basis. Also updated and maintained the discretionary portfolio models on the

UBS trading platform and internal spreadsheets.

• Had regular and extensive contact with internal and external wholesalers from various financial companies.

Gabelli Asset Management (GAMCO Investors, Inc.) Rye, NY

Portfolio Administrator August 2008-March 2010

• Researched and processed voluntary and mandatory corporate actions for all client accounts.

• Confirmed daily trades between broker and contra-broker, and reconciled client accounts between broker-dealers.

• Headed the entire billing process across all client accounts each quarter, and ensured timely dissemination for investment fee

collection.

• Performed morning and nightly reports for CEO, portfolio managers, research analysts, and traders.

• Monitored pro forma cash flows in and out of all client accounts and recorded them on internal systems, and sent out

monthly/quarterly checks and wires to clients.

• Attended investment meetings and conferences with research analysts and CEO, and performed various tasks for CEO and

traders on the GAMCO trading floor.

INTERNSHIP EXPERIENCE:

Merrill Lynch Fairfield, CT

Private Wealth Management Intern May 2007-July 2008

• Completed retirement scenarios for clients utilizing financial planning software, and aided in performing investment

recommendations and changes to investment portfolios and models.

• Customized and mailed monthly portfolio reports, as well as research and newsletters to HNW clients.

Fairfield University Fairfield, CT

Student-Managed Investment Fund September 2006-May 2008

Investment Manager

• One of eight student investment managers responsible for managing $200,000 of the university’s endowment.

• Performed global research across asset classes, made investment recommendations, and helped draft an investment policy

statement consistent with that of the university.

PROFESSIONAL LICENSES:

• CFA® Charterholder

• Series 7, Series 66

EDUCATION:

Fairfield University, Bachelor of Science Fairfield, CT

Major: Finance; Minor: Economics GPA: 3.79 overall, 3.81 major May 2008

Graduated Magna cum Laude, Dean’s List Fall 2004 – May 2008

Course Highlights: Principles of Investment, Financial Management, Portfolio Analysis, Futures and Options

ADDITIONAL INFORMATION:

• Proficient in MS Excel, Word, Publisher, and PowerPoint; Morningstar; PSN Enterprise; FI360; Goldmine; SmartStation;

Salesforce.com; APL; Bloomberg; and ThompsonOne Financial Software. Experience with MPI Stylus and MS Access.

• Member of Beta Gamma Sigma (Honor Society for Business Students) and Alpha Mu Gamma (Foreign Language Honor

Society) for French.

• FDG Institutional Consulting Group named 2011 Retirement Plan Advisor Team of the Year by PLANSPONSOR.

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