Financial Advisor Vice President

Professional Summary

Motivated executive professional with 25+ years of experience with an expertise in business development, asset gathering, and revenue generation. Analytical and equipped with an in-depth working knowledge of the financial industry. Develops and maintains strong client relationships.

Licenses: Series 7, 63, & 65

Experience

Oppenheimer & Co. Inc. Houston, TX October 2016-May 2020

Executive Director-Investments

Institutional Fixed Income Sales

UBS Houston, TX February 2003-October 2016

Sr. Vice President

Institutional Investment Group

Citigroup Inc. Houston, TX March 2002-March 2003

Vice President-Financial Advisor

UBS Houston, TX March 2000-March 2002

Vice President-Financial Advisor

Provided financial modeling and analysis, risk-tolerance assessments, and retirement illustrations to high net-worth individuals, family offices, foundations, and institutions for strategies to meet current and long-term financial goals.

Brought in assets and new revenue with successful marketing and fundraising campaigns.

Facilitated trades for institutional fixed income clients in assisting with buying bonds for portfolios or client accounts as needed ($1mm to $500mm).

Conducted equity research on companies to discover undervalued investments with reasonable prospects for long-term sustainable growth.

Coordinated portfolio reviews with clients to regularly evaluate an investment's performance toward achieving documented long-term financial goals.

Presented investment and financial planning seminars to clients and prospective clients.

Generated new clients using a personal, face-to-face approach that built trust and emphasized personal service to the individual investor.

Identified clients and prospective clients in need of investment guidance and then recommended investment solutions appropriate for each individual.

Prudential Securities Houston, TX March 1995-March 2000

Financial Advisor

Implemented risk/return analysis, developed asset allocation models, and implemented financial plans to optimize client portfolios based on individual needs and goals.

Managed and monitored client financial assets according to personal risk tolerances and market conditions, conducted client review meetings and maintained ongoing client communication.

Paine Webber Houston, TX April 1994-March 1995 Financial Advisor

Acquired a client base through cold calling and other marketing efforts.

Provided financial management and advice to individuals and corporate entities.

Educated and assisted clients in making decisions regarding insurance, mutual funds, stocks, and bonds.

Reviewed portfolios and made adjustments as needed based on market trends, and other important financial information.

Attended and completed Paine Webber Financial Advisor Training Program.

Education

The University of Houston

BA, Finance April 1994

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