Financial Services Life/Health insurance, SIE series 6 and 63

Experienced financial services professional offering broad based expertise in areas of personal finance ranging from first time home buying to retirement planning to estate strategizing. Client focused and comprehensive approach to individual and business account development. Utilizing financial tools such as contributory 401k, accounts, Roth IRAS, annuities, life and health insurance as resources to support clients and help them to achieve their financial goals. I have a proven track record of enhancing team performance, fostering customer loyalty, and cultivating collaborative alliances with internal and external stakeholders. Developing financial plans

Building model portfolios

Planning for retirement

Risk assessment

Tax planning efficacy

Legacy planning

Client relationships

Lead generation/prospecting

Networking

Equitable Advisors November 2022- Current

Financial Professional

First New York Securities September 2013- June 2014 Portfolio Manager

Actively managed $5 million equity fund, concentrated in the Consumer discretionary sector. Determined model portfolio based on fundamental research and technical analysis. Executed institutional fiduciary responsibilities in compliance with current regulatory environment. Indemnified portfolio against risk through a variety of hedging techniques. Assisted in the preparation of presentations for prospective clients outlining services offered by the firm and new product information.

Researched economic trends and market conditions to provide up to date information on investment options available to clients.

Attend continuing education seminars to stay abreast of changes in the industry regulations and best practices. consulted with clients to assess and meet short and long term financial goals. Assisted clients with planning for and funding retirements using mutual funds and other strategies. Provided recommendations for education funding, estate planning and insurance gap analysis. Advised on investment portfolio with 401, pension and tax sheltered annuity products. Developed financial plans and strategies tailored to clients individual needs. Provided advice on tax-advantage investment opportunities. Monitored client portfolios to ensure that recommend investment remain in-line with their goals and objjectives. Provided complementary quartly account reviews.

FINANCIAL ADVISOR

917-***-**** · ********@***.*** ·

310 Woodmont Drive Cedar Knolls,, NJ 07927

BRADFORD F I E LDING

PROFESSIONAL EXPERIENCE

STRENGTHS AND EXPERTISE

917-***-**** · ********@***.*** ·

310 Woodmont Drive Cedar Knolls,, NJ 07927

BRADFORD F I E LDING

Opus Trading Fund February 2008- June 2011

Equity Trader

Responsible for management of $3 million equity fund. Specializing in short term opportunities and sector rotation. Traded using a momentum, volume, and trend based approach, including fundamental analysis, catalyst events, and relative strength within particular companies. Utilized hedging techniques to minimize portfolio volatility.

B.S.F Capital October 2006-January 2008

Senior Portfolio Manager

Traded and invested in equities in the consumer non-durable sector, including but not limited to household products, beverages, retail, and food. Applied macro-themed economic approach to idea generation. Monitored Federal Reserve interest rates movement, GDP growth or deceleration and employment figures. Supervised the performance of existing investments and recommended changes as necessary. Interpreted data from leading economic indicators and company specific news to execute a theme based approach to asset allocation. May 1991

The Pennsylvania State University, State College, PA Bachelor of Arts Psychology

Life and Health Insurance License

SIE, Series 6 License, Series 63

Developmental Sales Force of the month at

Equitable Advisor

Nationally ranked tennis player from 12 to 18 years old. Still playing, coaching and competing at the highest level of the sport.

Captain for Varsity Tennis Team, 1990 to 1991.

Four year varsity Tennis team starter 1987-1991.

Member of Kappa Delta Rho Fraternity, 1988-1991.

Technical Analysis Training Course, New York

Institute of Finance New York, NY, 1993

PROFESSIONAL EXPERIENCE CONTINUED

EDUCATION AND TRAINING

CERTIFICATIONS ACCOMPLISHMENTS

ACTIVITIES AND HONORS

Sigma Capital February 2001- December 2004

Senior Portfolio Manager

Professionally responsible for the administration of a $50 million long/short portfolio. Recruited, trained and motivated high producing team including a Chartered Financial Analyst and a trading assistant. Assumed comprehensive responsibility for their performance reviews, salaries, bonuses and benefits packages. Monitored and modified investment strategies and studied changing trends through independent research using modalities such as company conference calls, attending annual investor conferences, and by enlisting the expertise of the sell and buy side equity analysts. Successfully reduced fund’s risk deviation through deployment of several market timing tactics such as stock options, ETFs, short positions, and pairs trading. Realized a net annual rate of return surpassing the Dow Jones Industrial Average exceeding ten percent per year.

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