INVESTMENT ADVISOR

Scott A. DeLucia

** ******** **, ***** *****, New York 11778; m 516-***-****; email: ************@*****.***

PROFILE

Organized financial professional, with exceptional work ethic, seeking position to capitalize on people skills and financial markets experience.

EXPERIENCE

American Capital Partners- Financial Consultant June 2011- Sept 2012

Routine consists of booking appointments through Networking and Cold Calling techniques. Employing a basic client portfolio review

strategy to identify the areas the client is unhappy with. Follow up appointment with client is geared, toward illustrating my strengths,

through American Capital Partners diverse product line and full service banking platform.

HSBC Securities Inc- Financial Advisor Aug 2008- Dec 2010 Left to re- establish career after medical leave

Managed a client base of $25mm in brokerage assets and $80mm in Consumer Deposits. By second month, was doubling previous

advisors production numbers. Responsible for $100k in revenue in 1st Quarter 2009, and $85k in the 2nd Quarter. Specialized in converting

consumer deposits into brokerage assets, as well as bring in new cash accounts and 401k rollover business.

CHASE Investment Services - Financial Advisor Oct 2004- July 2008 Followed Regional Mgr from Chase to HSBC

Managed a base of over $65mm in combined branch Brokerage accounts, and $110mm in combined branch consumer deposits. Focused

On increasing brokerage footprint in Brentwood branch and increased revenue production threefold in first quarter. Identified with clients

needs and increased insurance revenue to levels unseen at that location.

Citicorp Investment Services -Financial Executive Mar 2002-May 2004 Recruited by Chase

Managed a total asset base over $250MM, comprised of brokerage, banking, and business clients. Daily duties consisted of continually

contacting clients, booking appointments and listening to clients needs. Duties also included providing solutions to clients, conducting

branch meetings and staff training sessions. Responsible for converting cash to brokerage products, maintaining relationships and gathering

assets. Maintained team atmosphere through a successful partnership and increased brokerage assets base by 18%

Mellon-Dreyfus Corporation -Financial Advisor Jan 2000-Feb 2002 Position at firm eliminated / recruited by CIS

Responsible for managing in excess of $240mm, in Dreyfus High Net Worth Group. Focused on retirement/educational funding, as well as

income generating, tax reduction strategies and managing portfolio volatility. Managed to grow asset base by 15%, during one of the most

volatile markets in history. Hand-picked by Retail Manager to lead a series of video conference seminars, to employees of the Mellon Trust

Banking Division.

A.G. Edwards & Sons -Investment Consultant July 1998- Jan2000 Recruited to manage a quarter of a Billion dollars

Advised clients and prospects on retirement, educational and estate planning needs. Utilized illustrative and modeling asset allocation

programs to provide meaningful solutions for specific investment objectives. Held continuing education seminars for investments clubs,

through our World Class Investment Research Team. Employed a wide-range of products, services and strategies to achieve desired results.

Paine Webber -Investment Executive May 1995- July1998 Left to join boutique firm that catered to my clientele

Part of a team that managed over $62 million in client assets. Designed and implemented investment proposals for clients and prospects

using an asset allocation program. Responsible for portfolio analysis of client holdings as well as potential prospects. Developed new

accounts using mail campaigns, cold calling and investment seminars. Products utilized: mutual funds, equities, unit investment trusts,

preferred stocks, and managed money accounts.

Citicorp Investment Services -Trading Desk Mar 1994- July 1995 Recruited by Branch Mgr at Paine Webber

Responsible for establishing shell accounts and placing orders for mutual funds, stock, debt securities and other financial instruments.

Dispensed general securities information to investment consultants concerning client brokerage accounts.

Peak Securities Corporation -Registered Representative July 1993-June 1994

Completed the challenging 4 week National Sales Training Program, held in New Jersey. Functioned as successful account executive in

charge of opening and servicing institutional clients. Responsibilities included, but were not limited to recommending appropriate fixed

income securities and bringing new assets, placing brokered deposits and cultivating new brokerage relationships.

Royce Investment Group -Registered Representative Apr 1989- May 1992

Accountant Manager in charge of opening and servicing clients. Responsible for recommending equities and other financial instruments to a

broad client base. Assisted in the training of new account executives.

UNITED STATES MARINE CORPS. Stationed in MCAS, Cherry Point, NC July 1984-July 1988

Proudly served my country, The United States of America, with Honor, Distinction & Integrity and earned the title of United States Marine.

During my service, I was proficient as a TX Fire Hawk/ Hawk Missile Control Operator; an advanced missile defense system. I also

exhibited leadership proficiency through training in various Military Leadership & Management Courses, exercises and situations.

Professional Licenses:

Series7,63, 65, Life & Health

Honors & Awards:

Honorable Discharge from USMC, Rifle Sharpshooter, Meritorious Unit Citation, USMC Letter of Appreciation for Combat Readiness in

Nuclear/Biological/Chemical Warfare, Good Conduct Medal, Designated Cross Country Chaser (Marine Corps version of cross country

prisoner escort), Held Final Secret Clearance Status Level, Broker of the Month, Most New Accounts (19 accounts in one month),

President’s Council Team Member at Paine Webber, Nationwide Circle of Excellence Member (over $5mm in business)

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