Mark Berndt 920-***-****

I have over ** years of sales experience with 14 years in retail management and over 20 years I the financial services area. My years as an elected or appointed government official have also provided me with strong customer service principles by solving conflicts using reason, common sense, and policy to remedy agreeable solutions.

Work Experience

KCD Financial Inc.

Recruiter/Licensing Coordinator & Operations - January 2017 to Present

I wear multiple hats for this small independent Broker Dealer and Registered Investment Advisor. My titles are licensing coordinator and national recruiter. My tasks include:

SEC/FINRA Licensing/Regulatory Reporting

Individual state licensing and financial reporting for securities and insurance

Recruiting new registered reps and advisors’ nationwide using social media, multiple job sites and networking within the industry increasing our rep base a net 44%

Onboard new employees to KCD Financials systems, policy, and procedures

Lead for internal succession planning, securing 21% of sales production for the next generation of reps, maintain future firm revenue flow.

Coordinate office exams, CE and other compliance requirements for firm and Reps

Maintain/Improve 3rd party vendor systems.

oMoved from state registered RIA to SEC registered increase Assets Under Management from $32MM in 2016 to over $130MM through 2021.

oChanged email archiving partner reducing cost and adding additional archiving for texting and social media usage.

oChanged webmaster to present a new fresh look that is FINRA compliant to better brand and market our firm.

oAdded a new clearing house for our IAR’s, reducing rep cost, increase firm revenue while adding additional tools and ease of function for our IAR.

oFound and secured a new insurance provider for the firm’s E&O Insurance at a comparable cost due to old insurer leaving the industry.

I hold a FINRA Series 7 and 66 license, CRD 5416781.

Bodart Electric

Electrician Assistant - September 2016 to December 2016

This was temporary/seasonal work through December working on the WI DOT Hwy projects, constructing, and installing lighting and traffic signals throughout Wisconsin including the Hwy 41 corridor.

Marine Credit Union

Mortgage Loan Officer - November 2015 to June 2016

As a Mortgage Loan Representative, I focused on Portfolio Mortgage related inquiries. I was responsible for soliciting outside referring sources and interviewing applicants for loans. I gathered background information as required and analyze d the loan applicants’ credit history to evaluate and recommend loan approvals, denials, and counteroffers based upon individual circumstances and data. I processed all required forms and related documentation for mortgage loan products. I cross sold and promoted credit union products and services.

I utilized our unique niche to obtain loans for current members and growing our base with new members. I made a difference in their lives by finding a solution and being able to say yes when others have said no. I was able to help our member achieve home ownership or the debt consolidation to get them ahead of their financial issue. While creating a plan and a strategy for them to move forward and reestablish themselves for the next refinance and conventional financing furthering them to financial success.

Adecco / Associated Bank

Mortgage Post Closing - October 2015 to November 2015

Using Microsoft programs I audited, prepared, corrected and solved any issue with post mortgage closing documentation and prepared it for possible sale on the secondary market.

Chase Bank/ Chase Home Finance 2005-2015

VP -Branch Manager -May 2014 to September 2015 As the Branch Manager I was responsible for the administration and efficient daily operation of a full service branch office, including operations, lending, product sales, customer service, and security and safety in accordance with the Bank's objectives. Develops new deposit and loan business; provide a superior level of customer relations and promotes the sales and service culture through coaching, guidance, and staff motivation; achieves individual and branch sales goals through new business sales, referrals and retention of account relationships. Provide leadership, training and supervision, delegates day to day operations to other branch personnel. Responsible for attaining established Bank and branch goals through active participation in sales management and officer call programs.

Relationship Banker & Small Business Specialist -September 2007 to May 2014 As a Series 6 and 63 Licensed Personal Banker I am responsible for acquiring, retaining and expanding personal and business banking relationships. I have been recognized as a top banker for crossing my banking partners at one of the smaller branches of Chase Bank in the Northeast District. My promotion to the largest Chase branch, Green Bay West, came in February 2012 after being promoted in July 2011 to the Allouez Branch from the De Pere Branch. I was then promoted to a Small Business Specialist in 2013. I proactively call and meet with customers, face to face or over the phone, to discover their financial needs and provide product recommendations. I partner with sales specialists in Retail Lending, Small Business, Investments, and other product areas to bring extra value to my customers.

Mortgage Officer -May 2005 to September 2007 As a Loan Officer for Chase Finance I was able to partner with up to eight Green Bay area Chase Bank branches that I covered to help meet or exceed their loan production goals by originating first and second mortgages and by setting the appropriate customer and source expectations. While coaching the personal bankers on methods of customer profiling to find and met the needs of our clients, I created long term relationships by offering options that meet the needs and are in the best interest of our clients. I was the top state mortgage originator in cross selling and adding on home equity products for my clients. By networking with other Chase banking partners, our team has been able to provide the full Chase benefits for our client. By driving a sale effort for a team of up to 13 Chase Personal Bankers, who focus on branch customer leads, I have been able to educate the customer, complete their application process for mortgage loans, including follow up for documentation, while keeping all parties informed as to the status of application. In promoting Chase mortgage products, I have successfully marketed to special interest groups such as numerous AFL-CIO Unions and Military Reservist.

Education -B.S. in Business Administration

University of Wisconsin - Green Bay, WI

Skills

Management Experience (10+ years), Sales (30+ years), loan officer (6 years), Customer Service (30+ years), Banking (10+ years)

Certifications/Licenses

Current FINRA Series 7 & 66