A DAM H ECKENDORN

** *** ***** **** **** Mercerville, NJ 08619 609-***-**** acdwg5@r.postjobfree.com

F INANCIAL S ERVICES P ROFESSIONAL

Financial Representative

Goal-oriented financial services leader offering diversified career experience spanning risk management,

training program development and facilitation, audit management and execution, SEC and FINRA

regulations/compliance, broker relations, and due diligence. Accomplished professional with propensity for

strengthening operational efficiency and organizational performance. Thrive on challenging opportunities to

deliver positive bottom-line results within healthy, competitive work environment where a customer-centric

work ethic is embraced.

Y Retirement planning Y Wealth developing Y Build trust

Y Strategic Planning Y Financial Analysis & Management Y Client Relations & Support

Y Teamwork Y Build networking teams Y Business Development

Career C h r o n o l o g y

Merrill Edge 2013-

2014

Financial Advisor

Grew the Merrill Edge book of business, through new acquisitions and enhancing current client’s book of business.

Currently in the premier segment that consists of approximately fifty advisors, of which are located in three separate

divisions of the country.

• Thru the investment center framework was a integral member of the Hopewell division.

• Helped clients with investment and banking decisions.

• A top producer in new assets in the managed platform.

PNC Investments

Financial Advisor

March 2013-Sept 2013

Covered four PNC Bank branches with a deposit base of 250 million plus. I received leads thru banking team and

system generated leads.

• Thru these channels I helped PNCI generate on average 25,000 a month in revenue.

• Utilized software to help clients with in depth retirement planning, which helped bring additional assets

to the enterprise.

• Coached PNC Bank employees to be able to refer existing clients to all divisions of PNC.

Merrill Edge 2011-

2013

Financial Advisor

Grew the Merrill Edge book of business, through new acquisitions and enhancing current client’s book of business.

Currently in the premier segment that consists of approximately fifty advisors, of which are located in three separate

divisions of the country.

• In the last two quarters was one of the top in new money deposits in premier. Over four million.

• Over the same period of time was a top revenue producer, in premier, for the firm, over one hundred

thousand.

• A top producer in new assets in the managed platform.

WACHOVIA / WELLS FARGO BANK – PRINCETON, NJ

2009-2011

Financial Specialist (2009 - 2011)

Achieve a high level of success in capturing business for the bank through the realized and unperceived needs of our

customers. Establish the bank’s book of business based on the ethics promoted by the banking industry. My overall

success is a result of my organizational skills, inordinate people relations and commitment to be a thriving part of the

team.

• Mercer County’s top producer of closing loans during 2010.

• Utilized professional network to broaden the banks book of business.

• Work closely with a CPA firm which results in new business.

• Assist clients to enhance their relationship with the bank.

• Developed the branch’s book of business through in-market calls and cold calls.

HARBORVIEW, LLC – NEW YORK, NY

2003 – 2009

Brokerage firm (indirect subsidiary of Instinet Group)

President (2006 – 2009)

Direct

Reports: up to 11 –CFO, Compliance Officer, Senior Equity Traders, Equity Traders

Promoted internally to develop turnaround strategy focused on reducing operating costs 95%, formalizing financial

reporting controls, managing risk, collaborating with auditors and compliance officer to ensure compliance with

all FINRA regulations, and monitor division’s overall performance to limit exposure. Select achievements:

Secured $1+ million annually in revenue by targeting key accounts, identifying new

sales channel, utilizing consultative sales methodologies, and developing strategic alliances.

Generated $360,000 in revenue by rejuvenating relationships with deteriorated clients by

delivering on promises.

Improved productivity with traders located throughout the globe by meeting at

satellite offices to develop standardized business operations procedures focused on traders’

needs.

Realized productivity enhancement by consolidating trading floor execution locations to

1 from 4 and utilizing technological solutions.

Vice President / Head Broker (2003 – 2006)

Direct

Reports: 12 – Senior Brokers, Administrative Assistant, Equity Sales Traders

Embraced challenging opportunity to create and leverage effective strategies to execute complex orders

including swaps and arbitrage. Sourced, hired, trained, supervised, and evaluated team of brokers. Facilitated

hedge fund’s orders and responded to customers’ concerns. Select achievements:

Improved productivity, accuracy, and efficiency while maintaining ethical standards

and complying with all regulations through development and implementation of formalized

processes and controls.

Improved execution and communication capabilities by researching, developing, and testing

technologies for enhanced voice and hand-held technology.

Licensure: Series 7, 63, 65

Life and Health

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