DANIEL J. LITTLETON

Summit, NJ, ***** 908-***-**** ad3n1c@r.postjobfree.com

Target Roles: Sales Executive Portfolio and Risk Analytics Solutions

(PORT) Account Manager, Enterprise Sales

Competitive, results-oriented, focused and dedicated professional with 25+ years of successful financial advisory, sales and management experience. Growth-driven and collaborative leader, driving client and advisor success by nurturing robust relationships, developing innovative solutions, and mitigating risks for high-net-worth clients' financial portfolios. Equipped with proven track record in optimizing sales and revenue growth by improving workflows, providing strategic leadership, cultivating culture of excellence, and identifying growth opportunities in a fast paced, dynamic environment. CORE COMPETENCIES

Investment Management Wealth Management Needs Assessment Client Relationship Management Product Management Business Development Financial Analysis Investment Strategies Portfolio Management Direct Sales Management Lead Generation Sales Pipeline Management Consulting Upselling and Cross-selling High-volume Cold Calling Financial Technology

(Fintech) Research Project Management Analytics Presentation Skills Customer Service/Client Care Team Building & Management Leadership Situational/Observational Awareness Listening & Observational Skills Detail- Oriented Physically Fit Passionate Dependable Resourceful Confident PROFESSIONAL EXPERIENCE

Vice President Financial Advisor, Wealth Management Stifel, Florham Park, NJ October 2013-July 2017

• Provided personalized financial planning and investment consulting aligned with high-net-worth clients' financial goals and risk tolerance by utilizing expertise in wealth management, including asset management, risk assessment, and financial analysis.

• Built and maintained client relationships with a personalized approach and by providing outstanding services, strengthening loyalty, trust, and retention. Further enhanced engagement by cultivating robust client relationships with dialogue and performance monitoring with regular updates and insights regarding the progress of their financial plans. Financial Advisor Vice-President Investments Morgan Stanley 2000- 2013

Regional Sales Manager Morristown, NJ

July 2005-December 2007

Sales Manager Short Hills, NJ December 2004-July 2005 Co-Sales Manager Red Bank, NJ June 2004-December 2004

• Supervised and assisted branch personnel comprised of approximately 100 employees: financial advisors and support staff. Each of the three offices I had a management role in produced approximately $25 million in revenue with $2 billion in assets under management, had net headcount gains, and revenue growth.

• Supported business growth by analyzing market trends and consumer behaviors to deliver customer-centric, data-driven strategies which expedited decision making.

• Coached seasoned financial advisors and increased sales by 20% and assets under management by 25% from 2005 to 2007 through effective optimization strategies and impactful achievements with offices producing

$25 million in revenue and $2 billion assets under management through effective leadership and retention techniques, client relationship management, and initiatives toward growth.

• Filled the roles of branch and compliance managers when necessary.

• Addressed areas for improvement by monitoring workflows and taking proactive measures which included streamlining the operations department resulting in accelerated response times, fewer bottlenecks, and outstanding client service.

• Interviewed, selected, and hired new financial advisor trainees with a focus on development, coaching, and role-playing simulations which resulted in a high-performing workforce.

• Facilitated successful regional educational events catering to high-net- worth clients which offered access to well-known and respected personalities within the investment community and financial media.

• Allowed continuous professional development for sales team members by providing feedback and coaching sessions.

• Collaborated with internal departments by coordinating sales meetings aligned with organizational objectives and boosted cross-selling within the firm.

• Amplified efficiency by acting as Syndicate Coordinator, streamlining allocation of shares in initial and secondary public equity offerings to minimize errors and ensure equitable distribution.

• Strengthened advisor lineup by assisting in recruiting competitors' established advisors, providing exceptional value proposition, and engaging in valuable conversations to encourage them to join Morgan Stanley's team.

• Managed correspondence and compliance responsibilities while meticulously reviewing and approving documents for advisors and their support staff, leading to enhanced accuracy and adherence to regulatory standards.

• Leveraged intellectual capital by partnering with external wholesalers’ investment strategists and money managers.

AWARDS AND RECOGNITION

National Sales Award, Morgan Stanley Red Bank 2001, 2002, 2003 LICENSE AND CERTIFICATION

Securities Licenses: Series 7, 9, 10, 31, 63, 65 1992-2017 Life/Health Insurance License 1998-2017

Certified Financial Planner® Designation 2003-2018 EDUCATION

Comprehensive Financial Planning and Wealth Management College for Financial Planning Boulder, CO

B.S.B.A. Finance Shippensburg University, Shippensburg, PA VOLUNTEER EXPERIENCE

New Jersey Elections Poll Worker 2022 and 2023

Volunteer Pet Therapy Dog Visitation Overlook Hospital Summit, NJ 2016- 2020 200+ visits.

Dog Foster Home for Good Dog Rescue Berkley Heights, NJ 2012 Volunteer New York Presbyterian Morgan Stanley Children's Hospital New York, NY 2010-2012

Volunteer New Jersey Special Olympics Summer Games The College of New Jersey Lawrenceville, NJ 2010-2012

Blood/Plasma Donor for 200+ Donations NY Blood Center 2009-present National Marrow Donor Program 2012-present

COMPUTER SKILLS

Microsoft Office Suite (Word, PowerPoint, Excel)