Financial Services Relationship Manager

Dominick Iadicicco

***-** **** ** *** B* Forest Hills NY 11375 C: 516-***-**** Email: *******@*****.***

To offer my experience in financial services to an organization that can use an initiative-taking and articulated professional. Having the talents for prioritizing, handling pressure, and building strong client relations based on an enthusiastic and dedicated personal style. Currently hold Series 7 & 63 Securities Licenses

WORK EXPERIENCE:

Client Relationship Manager

Stifel Financial Corp.- New York – June 2020 to Present

Assist the senior executives and employees of the companies Stifel services with design, drafting and implementation of 10b5-1 plans. Support the executions of open market,10b5-1plans and 10b18 plans. Drive post sales conversations and refer clients to Wealth Management Advisors ion the reinvestment of sales proceeds. Provide due diligence for sales by corporate offices and directors, include the submission of Form 144 filing via the Edgar System and Form 4 data compilation. I currently handle most of the Restricted Stock sales within Stifel. I draft the Seller Representation Letter/ Broker Representation Letters. Facilitate the transfer of restricted securities to Stifel. Support post trade settlement and reconciliation, including the exercise of employee stock options and delivery of the underlying shares to Stifel. Maintain various databases, tracking and reporting tools

Securities Trader / Sales Assistant

Bernard Herold & Company Inc.- New York – June 2017 to November 2020

Assist in executing orders for stocks and options and interface with clients. Includes handling of securities paperwork. Preparing proper paperwork for the sale of restricted stock, (144R/Prospectus) Broker Representation Letters and Seller Representation Letter. Working with Transfer Agents, Clearing Firm to ensure all paperwork has been submitted. Conversion of Warrants and Rights. Advance knowledge of Pershing NetX360.

Funding Specialist

Imperial Advance- New York, NY – November 2016 to May 2017

Call and prospect on a variety of cold, warm, and hot leads. Analyze clients needs and explain product benefits. Facilitate entire sales cycle and funding process for small businesses. Build and maintain pipeline of leads and clients Utilize CRM for Lead and pipeline management. Gather, analyze, and organize customer’s documents. Learn the B2B alternative lending industry and its numerous products and guideline.

Registered Representative

Foresters Financial - New York, NY - April 2016 to June 2016

Provided everyday families and individuals with financial solutions, guidance, and tools, to meet their needs across all life stages. Offered personalized service combined with a solid, long-term approach and fresh thinking.

Financial Advisor Trainee

Merrill Lynch - Garden City, NY - March 2015 to November 2015

A structured and disciplined program that demonstrated an ongoing commitment to the growth and progress of Merrill Lynch Financial Advisors. Offered new advisors the most professional and client focused sales, investment, and business management training in the industry. Built upon their knowledge of these topics throughout the duration of the program, while focusing on developing client relationships. Learned to develop a pipeline of affluent clients, identify client needs, develop relationships with existing and prospective clients, review investment goals, prepare investment recommendations that aligned with client goals, and the business management skills needed to operate an optimal practice mode.

Personal Banker

Chase – Forest Hills, NY - April 2011 to March 2015

Took a leading role in creating an outstanding customer experience and helped the Branch meet sales objectives contributing to the success of the firm. Proactively met with customers face to face and over the phone to discover their financial needs and provide product and service recommendations. Partnered with specialists (such as loan officers, business bankers, and financial advisors), to ensure our customers received access to experts help them with specialized financial needs.

Stockbroker

Scottrade Inc - New York, NY - August 2003 to February 2009

Met with new clients and potential clients to inform them of the different products and services available within Scottrade. Executed trades for clients in a professional manner. Tracked all incoming ACAT transfers within an Excel spreadsheet for the branch. To ensure that the ACAT transfers were received on time, worked closely with the corporate office. Ensured excellent customer relations by creating an atmosphere of hospitality.

EDUCATION

SUNY Farmingdale, NY B.S. in Industrial Technology Management

SKILLS

MS Office (10+ years), Sales (5 years), Customer Service (10+years). NetX30 (3 Years), Restricted Stock Sales (4 Years)

CERTIFICATIONS

Series 7, Series 63

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