Manager Management

Michael J. Caterina

*** **** ** ******, ********* 2E New York, NY 10017

th

845-***-**** ***********@*****.***

PROFESSIONAL EXPERIENCE

Morgan Stanley - Global Wealth Management New York, NY

Senior Registered Associate August 2010 – Present

Responsible for managing and overseeing a team of three Senior Financial Advisors with AUM totaling $500

million in delivering financial planning solutions and investment consulting to high net worth individuals, family

offices, and businesses

Proactively address specific needs and service all relationships through client onboarding, investment research,

portfolio reviews, performance reporting, money movement, and overall account maintenance

Aiding Financial Advisors in delivering the Morgan Stanley client proposition and framing the benefits of the firms

manager research and due diligence process to prospects

Recommending suitable investment ideas for clients with excess cash and implementing by placing trade orders in

brokerage accounts

Utilize firm initiatives to drive revenue and enhance group offerings to grow asset base

Create custom seminar presentations for group’s monthly prospect and client events

Manage and develop group’s junior associate to assist and execute on overall business plans

UBS Financial Services - Private Wealth Management New York, NY

Intern 2009 - 2010

Performed equity and fixed income analysis summarizing holdings, performance history, and management costs that

were used by the advisory team for portfolio reviews and presentations

Compiled potential client investment proposals using firm’s proprietary software to generate new business

Assisted in analyzing and collecting information on ultra-high net worth client opportunities via phone

Initiated mass mailing campaigns to prospective clients and centers of influence

HGA Vending Services Congers, NY

Manager 2007 - 2008

Managed and oversaw the operation of a retail food stand within a state park

Reviewed projected sales figures and ordered new inventory based on those projections

Assisted in preparing and serving menu items to customers

Bank of New York Tallman, NY

Teller 2006 - 2007

Responsible for depositing and withdrawing funds from customer savings and checking accounts

Assisted customers with the purchase and redemption of United States Savings Bonds

EDUCATION

Fordham University - Gabelli School of Business Bronx, NY

Bachelor of Science – Concentration in Management 2009

Cumulative GPA 3.45

Dean’s List Fall 2007 and Spring 2008

Member of Fordham University Finance Society and Fordham Entrepreneur Society

CORE COMPENTENCIES

Certifications: Series 7, Series 66, Series 31

Skills: Bloomberg, Morningstar Advisor, Thomson One, Microsoft Excel, PowerPoint, Word, ACT!2005

Interests: Health & Fitness, Motorcycling, Real Estate, Travel

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