Certified Financial Planner

KEVIN MANGHAN, CFP

CERTIFIED FINANCIAL PLANNER

SENIOR FINANCIAL ADVISOR REGISTERED PRINCIPAL

Certified Financial Planner with 20 plus years experience building, leading and managing financial advisory practice offering solutions to a diverse client base. A team leader with extensive background in the development of complex estate planning strategies, retirement and education planning with a thorough knowledge of tax law. Developed multi-faceted investment programs. Strength in marketing, business expansion and superior client service.

AREAS OF EXPERTISE

•Comprehensive Financial Planning •Client/Investor Relations

• Investment Strategies •Portfolio Management

• Market Growth & Expansion •Estate & Pension Planning

• Relationship Building •Retirement Planning

• Taxation Analysis •New Business Development

•Insurance Analysis

PROFESSIONAL EXPERIENCE

AMERIPRISE FINANCIAL – East Longmeadow, MA 1987-August 2009

Certified Financial Planner, Senior Financial Advisor (1987-present)

Designed, established and managed a financial planning practice that grew to over $40 million in assets serving 400 clients. Assessed individual financial situations and developed strategic financial planning solutions. Produced, maintained and communicated complex investment and insurance product solutions while maximizing investment strategies designed to achieve clients’ financial goals.

Devised and executed business development strategies to attract and acquire new clients through various marketing plans, networking and seminar presentations. Established relationship-development expertise that complements the ability to aggressively build solid client base and drive revenue growth. Enjoyed superior client retention through proactive, systematic client service techniques. Built and maintained strong relationships with clients.

Collaborated with legal and accounting counsel to develop client centric strategies for estate and business succession planning. Created proposals exhibiting extensive detail in internal revenue code and estate tax law. Developed solid estate and tax code knowledge base.

Conducted seminars and classes on financial topics, especially retirement related issues to corporations, universities, civic and religious organizations.

Managed strong financial teams in developing customer relationships and providing insurance and investment services through training, guidance and leadership. Supervised and trained office support staff.

Registered Principal (2001- 2007)

Regulated and supervised the business practices of eighteen veteran financial advisors. Responsibilities included all phases of compliance and policy regulation enforcement. Conducted training programs for financial advisors and staff, monitored advisor activities to insure all compliance regulations were being followed. Inspected offices of advisors and reviewed daily trading activity, sales literature and all written communication to clients to ensure appropriate adherence to company and industry standards. Reviewed and disseminated operational changes, trends and regulatory procedures. Conducted internal investigations involving complaints or potential improprieties and established conflict resolution strategies to resolve conflicts between advisors and clients. Acted as an agent for Ameriprise to ensure the integrity of the company amongst its representatives.

KEY PROFESSIONAL ACCOMPLISHMENTS

• Developed and managed over $40 million in client assets.

• Grew client base to over 400 investors.

• Received numerous Planner of the Year and Production Leader awards.

VOLUNTEER EXPERIENCES

QUABOAG VALLEY BUSINESS ASSISTANCE CORPORATION – Ware, MA 1995-present

Board of Directors

Founding member of organization chartered to provide capital and business support services to small and start-up businesses that do not have access to capital through traditional lending institutions. Examines business plans, credit worthiness and character of applicants to determine potential viability. Currently managing loan portfolio in excess of $1 million.

QUABOAG VALLEY BUSINESS COMMUNITY DEVELOPMENT CORP. – Ware, MA 1997-present

Board of Directors

Founding member of organization whose purpose is to develop community based business initiatives that foster economic development within the region.

WILBRAHAM & MONSON ACADEMY, PARENTS ASSOCIATION- WILBRAHAM, MA 2007- 2008

Fundraising Chair

Through various fundraising techniques and events raised over $125,000 to help establish the Mark R, Shenkman Trading Center. The only high school with a trading floor in America.

EDUCATION AND CREDENTIALS

Bachelor of Science in Liberal Studies- 1985

EXCELSIOR COLLEGE– Albany, New York

PROFESSIONAL LICENSES:

FINRA SERIES 7(Stocks, bonds, options, economics, security regulations)

Series 51 (Municipal Principal)

SERIES 24(General Securities Principal)

SERIES 63 (Multi state license)

LIFE, HEALTH & DISABILITY INSURANCE LICENSES (MA, CT, FL, NY)

PROFESSIONAL TRAINING:

CERTIFIED FINANCIAL PLANNER

The College of Financial Planning - Denver Colorado, 1988

Account Management Systems

Leadership & Team Building

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