Financial Advisor

MICHAEL E. MORRISON

Aosta, Italy +39-338*******

Email: *******@***.***

An accomplished, bilingual investment manager and financial advisor with a background

in trading, operations and 10+ years winning and advising institutional and HNW clients

in the UK, US and Latin America. Knowledgeable across equities, fixed income and a

range of structured products and alternative investments, has generated 12-20%

annualized returns for clients and successfully won dozens of new accounts given a clear

commitment to clients that won considerable loyalty. Active Finra series 7, 66.

KEY ACHIEVEMENTS

•Delivered annualized returns of 15-20% on a portfolio of $25M (for 100 clients)

trading in Latin American and International corporate and sovereign debt in 2003/4 for

Citibank, investing in advanced financial products.

•Ina bear market after 9-11, generated 6-figure incremental business from new

investors with McDonald Investments Inc, London – successfully acquiring 10 new key

accounts in Spain and the UK for US equities.

•Increased Assets Under Management by 20% in 3 months for the ACS unit at

Citibank in 2006/7, by bringing Mutual Fund Wholesaler intelligence and insight to

Wealth Managers to improve familiarity with these products.

•Working as a self-employed financial advisor, generated 12% annual returns for

clients with AUM of $9M, meanwhile able to provide extensive support to grow a

microbrewery with the family.

•Acquired 30 new HNW clients for Citibank Venezuela, establishing a high degree of

trust and rapport to win many away from Merrill Lynch and Salomon Smith Barney.

•Coordinated seven Citibank branches to ensure orders for US$-denominated

Venezuelan sovereign debt were processed rapidly and accurately for clients needing

scarce foreign currency given restrictive FX controls.

TECHNICAL & MARKET KNOWLEDGE

Products

Clientele

US Equities – small and large market capitalization - & High New Worth

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Mutual Funds.

clients.

Alternative Investments- Hedge Funds, Commodities.

Institutional clients.

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Fixed Income - International in local currency and US$, Retail clients.

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Munis, US Treasuries and Corporate Debt.

Structured Notes, Single Observation Reverse Convertibles.

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PROFESSIONAL EXPERIENCE

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Feb 13 – Aug 13

SPECIALIST AST&O (Advisor Services, Trading and

Operations)- Charles Schwab, Florida, USA

Responsibilities: Complement the Financial Advisor/client relationship by

trading in options, equities, mutual funds, etf and certain fixed income

instruments. Cost Basis, Cashiering, tax issues and provide financial market

data and quotes to end clients. Some Alternatives investments including

Hedge funds, private equities, commodities and real state.

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July 11 – Jan 13

FINANCIAL ADVISOR – Merrill Lynch, Florida, USA

Responsibilities: Manage and build up a portfolio of HNW and UHNW clients in

the USA and internationally; supervise and re-balance portfolios working with

Mutual Funds, Structure Products and Alternative Investments.

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May 10 – Feb 11

FIXED INCOME SPECIALIST – J. W. Korth & Company,

Florida, USA

Securities brokerage with fixed income focus. Responsibilities: Manage

investments for HNW clients in the USA and Venezuela, and institutional

investors in Spain; focus on structured notes, CMOs, US Treasuries, Municipal

and Corporate and International bonds in foreign and local currencies; create

bond ladders and barbells.

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Aug 06 – Jun 07

ACS INVESTMENT UNIT MANAGER (Resident VP), Citibank,

N.A. Caracas, Venezuela

Responsibilities: Support and monitor a team of 40 wealth managers to

improve overall performance and regulatory compliance in dealing with

sophisticated financial instruments.

Identify new or sophisticated products based on clients’ goals and ongoing

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discussions with Mutual Fund Wholesalers, discussing market opportunities

weekly with Wealth Managers.

Trained Wealth Managers, after monitoring regulatory compliance in terms

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of investment advice, Know Your Customer (KYC), Cross-selling and local

and foreign banking regulations.

Work with senior management to achieve national objectives.

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Jun 03 – Apr 04

FINANCIAL ADVISOR, Citibank, N.A. Caracas, Venezuela

Responsibilities: Manage and build up a portfolio of HNW clients and

corporations; supervise and re-balance portfolios working with structured

notes, international bonds, fixed income and equity products in local markets

and international markets.

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EARLY CAREER

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Feb 01 – Apr 03

ASSOCIATE VP, US EQUITIES (Institutional Sales),

McDonald Investments Inc., London, UK

Responsibilities: Develop the UK and Spanish institutional investor client base

and lead the expansion of McDonald Investments in Spain, including entry

strategy, marketing and relationship-building.

Apr 00 – Jan 01

US EQUITIES INSTITUTIONAL SALES, Friedman, Billings,

Ramsey (FBR) International, Ltd. London, UK

Responsibilities: Oversee growth activities in the Spanish institutional market,

building relationships with leading financial institutions, and review business

plans for investments.

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EDUCATION, LICENSES & LANGUAGES

EDUCATION

CAIA level 1 candidate.

March 2014

1999 – 2000 MBA – Cardif University, Wales, UK (35% completed).

May 1999

Bsc Economics – La Salle University, USA.

LICENSES

-License 215(Life Insurance, Health Insurance, and Variable Annuity) Orlando, Florida,

USA Sept 2011.

-Series 66 License, Orlando, Florida, USA, Sept 2009.

-Series 7 License, Orlando, Florida, USA, July 2009

LANGUAGES

-Spanish (Native); English (Fluent).

References available upon request.

Contact this candidate