Creates Compliant Investment Strategies
Fixed Income and Trading executive skilled in educating, implementing and execution of complex trading and investment strategies for high net-worth and institutional clientele. Communicate effectively with key partners, clients, to manage risk, achieve stability, and ensure capital preservation. Strong interpersonal skills with an ability to generate investment ideas and maintain knowledgeable dialogue with highly sophisticated clientele.
GRI Services, Owner/Partner Chepachet, RI July 2019 - Present Property Management
Create marketing plans, cultivate leads and bid on jobs. Through business contacts, referrals and marketing – general services range from property rehab, landscaping, painting, flooring services for, contractors’ property managers and homeowners. Manage schedule, day to day activity, payroll and job execution. Merrill Edge (Bank of America Corporation), Lincoln, RI Oct 2014-July 2019 Primary internal resources to trading desk regarding calculation of client buying power, service, account maintenance and online access and navigation inquiries while delivering on key performance metrics, including service levels, productivity, client satisfaction, and quality. Provide advanced trade and margin support, in-depth knowledge of trading mechanics, fixed income, options and margin regulations. Responsible for decisioning high risk online trades within Merrill Edge.
Financial Consultant II, CCO INVESTMENT SERVICES CORP., Franklin, MA 2012-2014 Reported to Regional Manager II. Charged with the day to day management of a branch-based investment territory, including: development of new investment and insurance sales, servicing existing client relationships, and developing and cultivating branch based delivery channel. Accomplishments:
• Provided extensive coaching and training to Branch Investment Consultants and all Branch personnel regarding CCOI Structured Products and Services.
• Organized and led numerous Call-Out Night’s for multiple branches. Provided guidance for client approach, outlined objectives for each call and the order of calls as well as how to close for appointments. Consistently secured required amount of onsite appointments through outbound call efforts.
• Met with existing bank clients to determine their investment needs, recommended investment strategies and presented investment choices while uncovering numerous opportunities to cross-sell additional bank products and services.
• Achieved sales goals for year 2012.
106 Douglas Hook Rd Chepachet, RI 02814 401-***-**** email@example.com Product Manager Structured Products & Fixed Income, CCO INVESTMENT SERVICES CORP. 2010-2012 Reported to SVP, Product Manager. Charged with the pricing and marketing of Structured Products & MLCD’s to CCOIC Financial Consultants for retail investors. Responsible for originating and on-boarding Investment Banks to provide their products to CCOISC retail platform. Oversaw and executed confirmed orders for Financial Advisors, High net-worth clients, and Institutional Investors. In 2012, group was disbanded due to CCOIC reorganization. Accomplishments:
• Trained, counseled & updated approximately 300 financial advisors on SP's and MLCDs current investment strategies, sales ideas and CCOISC policies and procedures.
• Gained proficiency in structuring, pricing and investor application of Structured Products and MLCD’s based on clients risk tolerances and investment objectives.
• Utilized an extensive network of preferred partners to create and price new Structured Products as market conditions changed.
• Originated and on-boarded Goldman Sachs, JP Morgan, Barclays and Citibank into the CCOISC platform.
• Coordinated the firms monthly new issue structured products & MLCD’s designed specifically for CCO Investments.
• Exceeded year over year sales goal.
Trader, Fixed Income/Equity Sales Desk CCO INVESTMENT SERVICES CORP., Boston, MA 1999-2010 Reported to VP Managing Director, Brokerage Services Group. Charged with the sales of fixed income securities to CCOIC retail and institutional clients. Primary focus was on Investment Grade Bonds. Developed and maintained high net worth accounts, ranging from $1MM to $5MM. Provided updates to sales force on New Issues, Current Inventory and building a market in Fixed Income Securities. Created individual Fixed Income Portfolios based on client objectives and risk tolerance. Accomplishments:
• Key member of the Fixed Income desk that built it from the ground up.
• Trained CCOISC Financial Advisors on individual bonds and new sales ideas, compliance guidelines and provided advanced training on outbound marketing calls.
• Provided weekly updates to financial advisors on new issue/secondary bonds and preferred stocks.
• Partnered with the CEO, Citizens Investment and the Chief Compliance Officer to mitigate risk of client exposure by creating internal guidelines, asset classes and investment objectives for all clients during the Financial Crisis.
• Identified, created and monitored a Watch List and served as the primary point of contact for the Structured Products & Fixed Income group relating to all retail accounts involved in the US Government TARP program.
• Protected clients by clearly understanding their investment objectives and staying within CCOISC guidelines.
• Accurately executed trades in a highly volatile fast paced environment while managing risk to reduce trading errors.
EDUCATION & LICENSING
United States Marine Corps, Sergeant (E-5), Desert Storm, Veteran 1990 – 1998 CCRI, Providence, RI
Bloomberg, BT Pro, FBSI, Microsoft Office Suite
Interests: Okinawan Karate, Cooking, Travel