Sales Training

Richard T. Evans

**** ******** **. ******, ** ***21 ****************.**@*****.*** 330-***-****

CAREER PROFILE

Recognized leader with 20+ years’ experience in the financial services industry Exceptional client interaction skills; exemplary service to sales skills Capably builds trust and rapport through responsive communication Resourceful and adaptive in an ever-changing business environment Proven ability to meet and exceed individual and business unit goals

SUMMARY of QUALIFICATIONS and SKILLS

Registrations and Reporting- current with FINRA series 6, 7, 9, 10, 63 and 66; all firm and regulatory continuing education up to date; adept with regular compliance reporting and document retention requirements

Consultative Sales Expertise- engages in needs-based dialogue to ascertain clients concerns and goals; completed Richardson, Perfect Selling and Walkup, Selling to Anyone Over the Phone training programs

Team Leadership and Management- leads team improvement exercises and mentoring of team members via coaching feedback on their call quality and sales skills, in both team meetings and one-on-one sessions; mentors other employees who are on a career path toward sales positions; acted as team manager when actual team manager was out of the office; performed as team contact, responsible for document retention, any compliance reporting needed and directing team meetings

Accomplished Trainer- provides support, creative ideas and classroom training for corporate training over multiple business units; oversees and lead all training for approximately 500 employees; creates training and support to bring other trainers onto the training team

Relationship Builder- builds rapport with clients as well as consults with other business unit teams and management to successfully align goals to achieve overall personal/corporate goals

PROFESSIONAL EXPERIENCE

Charles Schwab & Co, Inc. 2004 - 2015

Sr. Financial Consultant (2007-2015)

Focused on high net worth clients; retaining assets at Schwab and consolidating outside non-retirement and retirement assets; worked with over 4000 assigned clients and many more unassigned

Engaged in a needs-based dialogue to ascertain client goals and current necessities while discussing the options available for their money

Provided Schwab’s value and met or exceeded asset retention goals; individual goals were between $50MM to $120MM annually of assigned clients and department goal was $2.5B to $4.5B annually

Assisted clients with asset consolidation into Schwab; as part of providing Schwab’s value asked for outside assets: individual goals were $30MM to $70MM annually

Directed clients to proper advice and local relationship solutions; introduced via phone local Vice President Financial consultants across all 50 states; when a client did not have a representative within 50 miles of their home, introduced them to a Sr. Financial Consultant who would provide an ongoing phone-based relationship; discussed all appropriate advice solutions, including mutual fund, stock, discretionary and consultative based advice

Sr. Trade Representative, Personal Choice Retirement Accounts Team (2006-2007)

Educated clients about general and specific trading and investments strategies available within their 401k plans; taught clients new to investing how to trade (market, limit, stop, stop limit orders); explained how different securities traded (mutual funds, stocks, bonds and ETFs)

Placed trades for clients and showed them how to place them via other channels, including phone and web

Provided direction and introduced, when appropriate, third party advice solutions as many clients wanted their 401k plan managed for them

Worked with 2,000 different 401k plans and approximately 1.8M participants

Brokerage representative (2004-2006)

Provided service to over 7M retail clients on their accounts that included IRA, individual, joint, trust, education IRA, 529 plan, UTMA and UGMA

Educated clients about appropriate trading and investment strategies; taught clients new to investing how to trade, shared information about investments they were interested in and offered advice about investments more appropriate for each based on needs and costs

Introduced, as needed, mutual funds, individual securities based, discretionary and non-discretionary based solutions advice and trading solutions (Schwab’s active trader platform and teams) provided by Schwab and third party advisors; introduced local Schwab representatives for advice and recommendations

The Vanguard Group 1996 - 2003

Institutional Trainer (2000-2003)

Led classroom training for multiple business units; oversaw and provided all training classes for approximately 500 employees at the Phoenix, AZ campus

Collaborated with course designers on course design and content

Worked with Institutional Department management to develop one off training programs as needed for business unit goals and needs

Provided feedback and support for other trainers as a continuous improvement process and a one on one mentoring program

Trained the trainer, supported and assisted new trainers as they came onto the team and brought them into the institutional training program

Supported and led classroom training programs for all annual firm element continuing education for the entire campus (at the time approx. 1,200 employees)

Institutional Representative (1996-2000)

Provided service to 401k plan participants for thier401k plan accounts

Discussed asset allocation and plan investment choices to aid clients in choosing their investments and strategies for retirement investing; discussed specifics of the mutual funds and how they may fit into an investment plan for those clients

Assisted clients in taking loans and withdrawals from their 401k plans

Placed trades for clients and showed them other avenues to place trades (web and phone)

Worked with over 1,500 plans and 2.5M 401k participants

EDUCATION

Associates Degree, Niagara County Community College

Major: Business Administration

Minor: Economics

GPA: 3.6

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