Mark Vaughan

Director of Financial Advisors

Clemmons, NC

acypam@r.postjobfree.com - 336-***-****

Willing to relocate: Anywhere

Authorized to work in the US for any employer

WORK EXPERIENCE

Director of Financial Advisors

Truliant Federal Credit Union - Winston-Salem, NC - May 2013 to March 2016

Served member clients with direct financial advice and services. This included financial and retirement planning

as well as asset allocation and investment portfolio construction. Managed a team of 6 advisors and maintained

direct sales responsibility for my existing and new clients. Management responsibilities included budget

planning, recruiting advisors, direction of administrative team, and sales management. Achieved President

Council award each of the last two years. This represented being in the top 25 of all advisors nationwide for

CUNA brokerage services. This required annual personal revenue generation of more than $750,000 annually.

Financial Advisor

SunTrust Investment Services - Winston-Salem, NC - August 2009 to May 2013

Worked directly as a consultant to retail clients providing financial planning and investment recommendations.

Hired to develop a retail client base and to assume an existing book of business. Trailing 12 month production

$345,000.

Branch Manager, Senior Vice President

Oppenheimer Holdings Inc - Winston-Salem, NC - October 2008 to May 2009

Hired to develop a new branch office in North Carolina. Developed a recruiting pipeline that included more than

30 financial advisors in the triad area. These advisors represented more than $15 million in annual production

with more than $2 billion in assets.

(This position was eliminated due to budget constraints.)

Regional Sales Manager, Senior Vice President

Wachovia Securities - Winston-Salem, NC - March 2000 to October 2008

Was responsible for all aspects of management including recruiting, compliance, budget and production. The

region employed 49 financial advisors producing annual revenue of $35 million. In addition to managing the

financial advisors, I directed an office staff that includes an operations manager, compliance supervisor, and

15 sales assistants. Recruited more than 30 advisors over the 8 year period representing more than $20 million

in trailing 12 month production with assets greater than $5 billion.

Ranked in the top 5 of all managers for 4 consecutive years

Through effective recruiting, the region grew from 11 Financial Advisors to 49

Revenue increased from $5.5 million annually to $40 million in 2008

Region held in excess of $800 million in managed account assets at near the end of 2008

Managed money revenue represented more than 60% of total revenue

Effectively recruited advisors from most major wire house firms including Merrill Lynch, UBS, Smith Barney,

Morgan Stanley and Ed Jones

Director of Sales and Marketing, Senior Vice President

UVEST Investment Services - Charlotte, NC - September 1994 to January 2000

This is a third party marketing broker dealer that contracted with banks to provide investment services.

Responsibilities included managing existing bank relationships and development of marketing materials and

product offerings. Assisted new clients with recruiting financial advisors and provided sales management

support. Managed a staff of 4 marketing associates and 4 regional managers.

Assisted growing bank relationships from 6 to over 200 in five years

Instrumental in growing revenue from $2 million annually to $25 million

Played an active role in recruiting more than 100 financial advisors

Producing Sales Manager, Financial Advisor

Invest Financial - Richmond, VA - July 1991 to September 1994

Responsible for personal investment production and managed a team of 5 financial advisors and support staff

of 2. Managed and recruited 5 advisors producing more than $1 million in annual revenue.

Maintained average annual personal production greater than $300,000

Grew production of program from $0 to more that $1 million annually

Recruited 5 advisors averaging more than $225,000 in personal production

Financial Advisor

Morgan Stanley Dean Witter - August 1988 to July 1991

Responsible for developing a client book and personal investment production.

Grew assets under management from $0 to $18 million

Personal production averaged $17,000 monthly in final year

Top quartile ranking of my training class

EDUCATION

Associates in Business Administration

Draughan's Junior College

Associates in General Studies

Armstrong Atlantic University - Savannah, GA

1984

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