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Director of Client Monitoring

Columbia, Maryland, 21045, United States
January 16, 2017

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James W. Roland II

**** ***** **** ****** ********, MD 21045

Cell Phone: 443-***-**** • j Objective

Obtain a position in the finance and investments industry utilizing my skills and knowledge of a wide variety of investment products, management, leadership and internal/external relationship building to drive organic growth and revenue.

Licensure & Professional Designation

Series 7, General Securities Representative (FINRA)

Series 66, Uniformed Combined State Law (FINRA)

Variable Life & Annuity Insurance Resident Producer (Maryland Insurance Administration)

Life & Health Insurance Resident Producer (Maryland Insurance Administration)

Kaplan CFPR

Education Certificant (Sitting for exam March 2017)

FedSmart Government Employee Benefits Financial Adviser Training Program Skills

● Proficient in Microsoft Office suite

● Experienced in using Leonard, Moneytree and Riskalyze financial planning software

● 10 years of experience using Morningstar and NetX360 platforms

● Very capable in the use of multiple CRM’s including SQL based databases, Salesforce, Advisors Assistant and SmartOffice Pro

● Trained and highly competent in the use of Albridge Wealth Reporting and eMoney Advisor

● Conversant with Mass Affluent to Affluent Clients (i.e - face to face meetings, skype, gotomeeting, phone calls, email communication)

● Practiced in the act of prospecting for new clients (i.e - set up seminars, support for seminars, follow up on response sheets from prospects, cold calling)

● Experienced with Mutual Funds, Stocks, ETF’s, Index Funds, Bonds, REITs, Fixed and Variable Annuities and many types of Insurance

Professional Experience

Kissinger Financial Services LLC/WealthTrust - Hunt Valley, MD June 2007 - Current

Director of Client Monitoring

● In control of maintaining and monitoring the information/accounts of more than 1200 clients and approximately $500 million assets under management

● Responsible for the preparation of all materials pertaining to Mass Affluent to Affluent Client Annual Review

● All client reporting was initiated and run through my department.

Approximately 290 reports per quarter in 45 days when I took over as Director in 2007.

Currently running and distributing 804 reports per quarter (177% increase) in approximately 30 days (33% decrease) with the same number of employees

● Speak daily to Mass Affluent Client base

Satisfy client needs & wants

Market conditions

Outside Investment updates (i.e. Life Insurance, Homeowner’s, Auto Insurance, LTC, Estate Documents)

● Team lead on a Green initiative in the office saving paper and greatly reducing storage necessary by scanning 25 years of financial documents while maintaining FINRA document retention standards

● Team lead on a complete Office Platform conversion from in house CRM/SQL Reporting Software to fully integrated CRM (SmartOffice Pro) and Planning/Reporting platform (eMoney Advisor)

Fully automated the reporting process by establishing a personal client website access and detailed client onboarding questionnaire

More efficient use of assets saving time, overhead and improving quality control in the office

Conversion is projected to save about 50% in time (30 days to 15 days) for quarterly reporting to client base thus reducing overhead considerably

Kissinger Financial Services LLC/WealthTrust - Hunt Valley, MD June 2006 - June 2007

Junior Financial Planner

● Responsible for developing complex financial plans through analysis of documents collected during client prospecting phase

Cash Flow plans

Capital Needs Analysis plans

Fixed and Variable Annuity, Life Insurance and LTC needs analysis

Social Security needs analysis

Pension and Deferred Compensation studies

● Calculated RMD’s as needed for Qualified portfolios

● Performed Alpha & Beta studies to compare portfolio risk and hypothetical return

● Asset Allocation recommendations for assets under management as well as outside held investments including 401k, 403b, IRA and NQ money

Kissinger Financial Services LLC/WealthTrust - Hunt Valley, MD May 2005 - July 2005

Client Administration - Intern

● Responsible for opening accounts to be invested by registered representatives by reviewing forms for proper completion and submitting to interested party

● Tasked with transaction follow-up to ensure the correct trades were placed

● Experienced in document storage (physically and electronically)

● Spent hundreds of hours inputting data into our in house CRM as well as the office reporting system Education

University of Maryland, College Park - Bachelor of Arts (Criminal Justice) January 2002 - May 2006

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