DEREK J. PETERSON

602-***-****

add2j5@r.postjobfree.com

Summary of Qualifications: Progressive senior management experience in financial services including Sales (internal & external), Organizational Development, Key Accounts, Marketing, Corporate Communications, Public Relations, and Product Development.

30 years experience in financial services serving investors, financial advisors, broker dealers, RIAs & family office.

Functional experience spans across national accounts, wholesaling, marketing, due diligence and customer svc.

Management experience directing multi-functional marketing departments and leading sales efforts.

Emphasis on strategic marketing supporting the sales organization through lead generation and sales tools.

Sales & marketing experience includes traditional and alternative investments with investment professionals.

Corporate environment experience spans from raw start-ups with 10 employees to management in Fortune 500.

Highlights of Skill Sets

Team Building: Created and lead multi-functional teams to successfully meet sales and marketing objectives.

Management: Lead multi-level teams of up to 30 people with managers having direct reports as well. Responsibility included hiring, training, evaluating and terminating.

Organizational Development: Re-engineered inefficient service processes, built multi-functional teams of experts to improve service, built and grew start-up departments, flourished in entrepreneurial settings.

Project Management: Assessed opportunities, sized resource requirements, set specific objectives, established parameters, defined success metrics, resolved problems and delivered projects on time and on budget.

Communication: Frequent interdepartmental collaboration, informing and reporting. Sensitive to interdependence of cross-functional relationships. Regular coordination with executive heads of departments.

Strategy: Strategic thinker that can translate conceptual ideas and idealistic objectives into concrete plans, able to understand “big” picture goals and articulate into actionable tasks with measurable milestones. Experience includes design of “blue print” for Sales strategy, product marketing, BD partnerships and organizational design.

Marketing Disciplines: Successfully launched new products with classic marketing and other approaches including web campaigns, sporting events, seminars, partnerships and alliances, field marketing, training, trade shows and hospitality. Met goals with budgets ranging from “shoestring” to multi-million dollar.

Professional Experience

April 2018 - Present Founder, Genesis Capital Advisors, LLC Scottsdale, AZ

Mar. ’15 to March ‘18 Senior Vice President, Terra Capital Markets, New York, NY

Doubled IBD distribution through new selling agreements and grew incremental sales representing 75%

Successfully converted & obtained SEC effectiveness of T-shares as member of the executive product dev. team

Created and implemented national sales strategy including CRM, rep segmentation, priority activities

Expanded Terra’s presence in the industry by positioning on trade committees, securing speaking slots; ADISA

Established relationships, negotiated contracts and coordinated third party due diligence

Consulted with BDs through product platform changes to comply with DOL Fiduciary Rule (Advisor Group, LPL)

Oct. ‘07 to Mar. ‘15 Sr. Vice President, Business Development, Walton International Group, Scottsdale, AZ

Headed National Accts & increased number of selling agreements with IBDs and RIAs from 15 firms to over 60

Quadrupled number of eligible reps for sales with signed BDs from 2,500 to nearly 11,000

Increased annual sales from $17 million to $123 million for a total over $billion - solely for Reg. D product

Represented the company as lead spokesperson at BD and industry events throughout the U.S.

Effectively managed multi-$mil budget, including over 60 conference sponsorships and marketing programs

Served as Director on board of Walton Securities, Inc., managing broker dealer

Feb. ’04 to Oct. ‘07 Chief Marketing Officer & SVP National Accounts – COLE Capital, Phoenix, Arizona

Responsible for managing Corporate Marketing, National Accounts, Internal Sales Desk and Sales events

Grew selling group of independent Broker / Dealers by 67% to 125 firms including LPL, Advisor Group, LFA, ING

Capital raising grew from $50 million annually to more than one-half billion dollars pace for 2007

Launched $100 mm, $500 mm and $1.5 billion REIT offerings including marketing, training and sales

Introduced over 50 1031 Reg. D product offerings through independent BD selling group

Coordinated participation in more than 50 BD conferences annually including speaking and exhibiting

July ’02 to Feb’ 04 Vice President, Sales - Southwest Region, ICON Securities Corp.

Responsible for sales of investment products to financial advisors and investors within multi-state region

Designed the sales strategy and led the regional team targeting thousands of financial advisors.

Successfully exceeded multi-million dollar sales goals

Delivered hundreds of public presentations as guest speaker at brokerage conferences, seminars and lunches.

Apr. ‘01 to Mar. ‘02 Vice President, Business Development, Sync Essentials, Inc., San Mateo CA

Responsible for pricing, positioning, value proposition and vendor negotiations for financial software.

Created and implemented corporate alliance/partnership strategy to improve products and increase sales.

Developed target audience research, designed efficient marketing budget and developed product launch plan.

Designed of corporate “road map” for product development and growth strategy.

Mar. ‘99 to Aug. ‘00 Director of Branch Sales, Charles Schwab & Co., Inc., Northern California Region

Supported sales and business development objectives of region serving seven branch office managers.

Consulted, presented and sold an array of investment services to prospective and existing client investors.

Provided outstanding customer service ranging from account inquiries, operations and problem resolution.

Oct. ‘95 to Mar ‘99 Director, Field Marketing, Charles Schwab & Co., Inc., San Francisco Headquarters

Headed nationwide Campaign Development, Event Marketing, and Regional Marketing functions.

Designed and recommend field marketing strategies to 11 regional sales teams through staff of 8, including implementation against diagnostic and demographic data for 300 branch markets.

Collaborated with internal partners to meet corporate objectives through branch campaigns, including Branding, Customer Segments, Product Marketing, Compliance, Legal Counsel and PR departments.

Represented branch marketing goals in corporate councils, national Marketing strategy deciding seasonal campaigns objectives, customer segmentation messages, target audiences and success metrics.

Mar. ‘91 to Oct ‘95 Marketing Manager, Mutual Funds Marketing, Charles Schwab & Co., Inc., HQ San Francisco, CA

Established positioning of new product line as product manager and part of entrepreneurial team.

Created product marketing strategies spanning from IPO through mature lifecycles.

Developed and executed multiple product campaigns: print, collateral, merchandising, etc.

Designed and implemented internal training materials on new product campaign

July ‘89 to Mar. ‘91 Investment Advisor, Charles Schwab & Co., Inc., San Jose, CA

Proactively developed new business among Centers of Influence, e.g. Attorneys, CPAs, etc.

Face-to- face financial planning with investors and sales of investment products

Organizations: 2014 -2015 (2 years) ADISA board director and Secretary, IPA 2014 Chair of National Conference

Education: San Jose State University, Bachelor of Science, Business Administration, 1983-1988

Management emphasis; Minor: Philosophy and Humanities

Licenses: Brokerage Series 7, Principals Series 24 and series 63

Certification: Professional Selling Skills (PSS) certification

Technology: Strong command of Excel, MS Word, PowerPoint; CRM: Salesforce.com, ZOHO

Interests: Spending quality time with wife and two sons, travel, tennis, scuba, chess, fly fishing and snow skiing

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