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Financial Manager

Santa Cruz Cabralia, Bahia, Brazil
January 15, 2020

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James Maleta

**** *. **** ****** - ******, CA 95073 - 831-***-****

General Career Highlights

• Experienced in Private Client Asset Management, Financial Planning, Estate and Retirement Planning, Sales, Marketing and Management

• History of community involvement, and non-profit organizational leadership (YMCA Chair, Special Olympics, Rotary, Elks, Christians in Commerce).

• Over 20+ years of sales, management, marketing and administrative experience at an executive level. I have helped manage High Net Worth portfolios through four market cycles; Managing several hundred million dollars over my career for thousands of clients.

• I am known as an effective problem solver, public speaker, team player and employee coach.

• Experienced and skilled at annual business budget profit plan analysis, implementation and profit planning. I managed a local Land Department for a company with the largest land holdings in tri-county area. We won the National Baldridge Award for Customer Service WORK EXPERIENCE

Owner, CEO- Private Wealth Management Service- LPL Financial was my Broker Dealer Maleta Financial Services - Soquel, CA - December 2011 to Present Business Consulting/Coaching, Soquel, CA 12/2011 to present Owner, CEO- Private Wealth Management Service- LPL Financial was my Broker Dealer. I opened a family retirement, financial planning, and estate planning service with my young son Nicholas Maleta. When son left for Graduate School I decided to take some personal time (sabbatical) to write and pursue some travel and family time for health reasons after over 19 years in the financial services business. Spent time on Wall Street training brokers for Dean Witter, worked as a large bank Financial Services

(Washington Mutual Bank, Bank of America, Wells Fargo Bank) Consultant/Advisor and just needed a break from the stress of people and their money. I could not find a culture I felt comfortable with in terms of how they did business. It is now time to get active again after losing 27 lbs and getting healthy mentally and physically.

Financial Consultant and Advisor, Private Client Wealth Management Team. Wells Fargo Investments/Advisors - San Jose, CA - October 2007 to December 2011 CA 95113 10/2007-12/2011

I provided financial planning and retirement services to retail and private bank individuals and business owners. I advised bank clientele on assimilating information and setting up personal and business financial plans; utilizing knowledge of tax, estate, investment strategies, security analysis, insurance, business and personal pension plans, and real estate management and acquisition experience. My responsibilities included assessing client assets, liabilities, cash flow, insurance coverage, tax status, and financial objectives in order to establish investment strategies and appropriate portfolio asset allocation. Financial Advisor

Wamu Investments- Investment arm of Washington Mutual Bank - Salinas, CA - 2005 to 2007 Managed over $80 million in private client assets. Assisted clientele with portfolio construction and management; provided asset allocation, financial planning, insurance and tax assistance. Similar responsibilities to above Financial Service positions. Vice President, Financial Advisor

Banc America Investment Services Inc - Monterey, CA - March 2002 to August 2005 Worked in Private Client financial planning for retail clientele. Managed in excess of $55 million in private client assets; Provided retirement and investment portfolio analysis and construction; provided estate planning advice and long term financial planning. Initially was given a portfolio consisting of over

$150 million in retail branch assets. They later separated the book as they hired more consultants. (not discussed in initial agreement- was due to management and strategy change). Associate Vice President Investments

Morgan Stanley Dean Witter - Santa Cruz, CA - 1994 to 2002 While working at Morgan Stanley Dean Witter I provided financial advise and planning for retail clientele. I managed in excess of $36 million in assets. I received the coveted National Sales Award for top 1% of new financial advisors nationally, and graduated No. 1 in class of 120 brokers after 3 years of production (letters of proof available upon request). Land and Property Manager

Granite Rock Company - Watsonville, CA - 1985 to 1994 I accompanied the Chairman of the Board on Land Deals. I worked directly with him and the President of Company managing company real estate holdings. Granite Rock Company is a very large land holder in the tri-county area; ( Santa Cruz, Monterey, and San Benito Counties, Ca) GRC was recipient of the coveted " National Baldridge Award for Quality Management". I managed the department that handled real estate, lease contract administration for retail, commercial, and industrial company holdings. In addition, I was also the Facility Manager for the Main Headquarters in Watsonville, CA. EDUCATION

BSC in Business Finance

Santa Clara University - Santa Clara, CA

Licenses held: Securities licenses- Series 7,63,66 and California Insurance License Life, Accident and Health, Variable, and Long Term Care Agent

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