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BUSINESS DEVELOPMENT SALES MANAGEMENT ACCOUNT MANGEMENT

QUALIFICATION HIGHLIGHTS

Driven, goal-oriented and customer driven Sales Executive with a successful career background and track record promoting sales and creating affective marketing strategies to initiate and implement new business opportunities.

Skilled provider of advanced training, guidance, and motivation that result in the retention of top performing professionals, consistently striving to push revenue expectations and exceed goals.

Strong cross cultural interpersonal, verbal, and written communication skills.

Ability to effectively conduct presentations to individuals as well as group settings.

Customer service oriented; ability to develop, build and manage long-lasting client relationships.

Enthusiasm for fulfilling the needs of the customer while enjoying the satisfaction of bringing something that is beneficial to all stakeholders to successful completion.

Track record of project organizing, prioritizing, achieving, and exceeding the standards of performance.

Remain current on consumer trends, promotional opportunities and market competitiveness.

Big picture thinker, talented and driven to impact bottom line while ensuring staff compliance with enterprise standards, procedures, and regulations.

Recognized by superiors for exceeding expectations as a role model in visionary/leadership, professional knowledge, Integrity and developing, expanding, and managing top producing territories.

Dedicated; reliable, positive professional attitude with a strong work ethic; committed to quality excellence. KEY STRENGTHS & COMPETENCIES

• Value Added Sales Management Leader • Effective Presentation/Negotiation Skills • Account Management

• Customer-Focused Relationship Builder • Creative Problem Solver • Training/Mentoring

• Profit Building • Business & Process Analysis Functions • Follow up

• Prospecting/Cold Calling • Personnel Training/Development • Compliance CAREER SUCCESS

WESTERN INTERNATIONAL, Elk Grove/San Jose, CA 2008 – Present Financial Consultant

• Successfully meet and exceed individual and company goals and objectives, provide consulting and account development.

• Develop new clients through referrals and calling efforts.

• Manage a portfolio and actively strengthen client relationships through developing solutions and cross-selling products. PIPER JAFFRAY, UBS, Sacramento, CA 2002 – 2008

Financial Advisor/Sales

• Actively engaged in the sales process to ensure the attainment of company and individual goals and objectives.

• Developed new clients through referrals and calling efforts.

• Managed a portfolio and actively strengthened client relationships through developing solutions and cross-selling products. SUTRO, Sacramento, CA 1999 – 2002

Financial Consultant

• Advised new and established clients on financial products and assisted with financial, investment, retirement, and estate planning needs.

• Prospected new clientele through conferences, mailings, and other marketing instruments.

• Conducted financial planning and educated on investments such as stocks, bonds, UIT's, mutual funds, fixed and variable annuities, life insurance, etc.

• Obtained Manager’s License.

SMITH BARNEY, Sacramento, CA 1993 – 1999

Financial Consultant

• Performed duties in a manner like those described above. James W. Bravos

Elk Grove, CA 95758 916-***-**** adwkvp@r.postjobfree.com Jim Bravos

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EDUCATION

Bachelor’s Degree in Economics - FRESNO STATE UNIVERSITY A.A. Degree – YUBA JUNIOR COLLEGE

LICENSES / CERTIFICATIONS

FINRA Series 7, 9, 10 Exam Certifications (Current) Manager’s License

Management Training Certified

Municipal Bond Coordinator

COURSES /CERTIFICATES OF COMPLETION

Annual AML Update: Cryptocurrency, Regulatory Guidance, and Enforcement (INT), 11/19/2022 Cybersecurity: Phishing (FE INT), 11/19/2022

Investment Advisor Code of Ethics (FE INT), 11/19/2022 Mutual Fund Suitability Under FINRA and SEC Rules (FE INT), 11/19/2022 Outside Business Activities and Private Securities Transactions - Volume 2 (FE INT), 11/19/2022 Regulation Best Interest SEC Resources and FINRA Involvement (FE INT), 11/20/2022 Senior Safe Act Training (FE INT) 11/20/2022

Annual Compliance Meeting: FINRA Hot Topics, 11/24/2022 Regulation Best Interest (Reg BI) and Associated Materials (FE INT), 11/9/2021 Senior Exploitation & Regulatory Concerns (FE INT), 11/7/2021 Outside Business Activities and Private Securities Transactions - Volume 2 (FE INT), 11/6/2021 Fee Selection and Reverse Churning (FE INT), 10/5/2021 Cyber Security Phishing (FE INT), 10/1/2021

Annual AML Update: COVID-19 Risks, Legislative Updates, and Enforcement Actions (FE INT), 9/30/2021 Advanced Look at Insider Training (FE INT), 9/30/2021

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