Management Sales

STEVEN C. HALL, CPA, CFP, CFA CHARTERHOLDER

*** ****** **** ***, ** Box 1036, Fraser, CO 80442 • 720-***-**** • *********@*****.***

SR. INVESTMENT / PORTFOLIO MANAGER

Global Asset Management / Financial Analysis & Modeling / Equity Portfolios / Fund Management

Growth Strategies / Derivatives / Risk Management / Key Accounts / Hedge Funds / Diversification

Wide-ranging experience in portfolio management, asset allocation, equity research, financial modeling and risk management for US Trust/Bank of America (UST/BofA) and others. Generated strong returns for high net worth, philanthropic, foundation and endowment clients, using advanced tools & techniques; IT resources, analytics, modeling and programming skills to select, monitor and balance portfolios. Can make an immediate contribution by:

Blending research, analytics and creativity for high performance investing

Developing new financial modeling and analytical tools

Teaming up with sales & marketing on RFPs and winning proposals

Building long lasting, profitable relationships with clients

Hardworking & highly-analytical with a passion for investing and portfolio management. Received a Master’s in Finance & Accounting (with distinction) from Keller Graduate School of Management, DeVry University and a BS in Finance, University of Colorado. Also, Associate’s degree in Electronic Engineering Technology with Certified Public Accountant (CPA), Certified Financial Planner (CFP) and Chartered Financial Analyst charterholder (CFA).

SELECTED ACCOMPLISHMENTS

Managed $400M book of business at US Trust/Bank of America. Staffing was down due to severe recession. Developed a series of new VBA and Excel computer applications to better analyze and monitor investment performance. Managed 80 client relationships and $400M in assets to exceptionally high client satisfaction rates.

Played key role in growth of institutional business. Clients expressed concern about investment team turnover at UST/BofA. Brought consistency and stability to local portfolio management team. Collaborated on key proposals/presentations and was instrumental in winning millions in new foundation and endowment business.

Contributed quickly after joining UST/BofA. After years in my own investment firm, needed to adjust to new large, corporate environment. Adapted to new corporate culture, advanced systems and management oversights. Consistently ranked among top 10% of performers in account retention and customer satisfaction.

Pacesetter and valued member of investment team. Client acquisition, communications and retention were handled by a separate UST/BofA group. Leveraged team strengths in marketing & business development and became integral and highly-valued team member in process improvements, analytics and investment strategies.

Founded and managed successful asset management firm. Recognized a market opportunity and managed a startup. Grew the firm to 12 Registered Representatives and managed business development, planning, operations, finance, P&L, as well as ongoing research and investment analysis for 11 years.

Ranked in top 20% as sales producer at Pru-Bache. Took an early interest in investing and the stock market. Worked tirelessly for clients, developing relationships and creating sales presentations, investment seminars and marketing campaigns. Consistently among top performers in sales and new accounts at Pru-Bache and others.

CAREER HISTORY

Senior Portfolio Manager, US Trust/Bank of America, 2008-2012. Investment management and asset allocation for high net worth individuals, foundations, endowments and philanthropies. Established an exceptional record in investing and contributed to new business development, process improvements and client retention. Downsized.

Portfolio Advisor, Steven C. Hall, LLC. 2004-2008. Worked with private investment accounts on matters ranging from investment strategy to portfolio rebalancing and tax harvesting. Recruited to UST/BofA.

Principal, Hall & Goldberg Investment Advisors, 1993-2004. Managed startup of investment management firm and played key role in building the business: operations, business strategy, recruiting, training and compliance.

Earlier: Employed as Registered Representative & Account Executive with Hanifen Imhoff Securities, Prudential Bache Securities, Boettcher & Co. and E.F. Hutton. Earlier experience in accounting/auditing.

Personal: Married. Licensed Pilot. Built & flew three experimental aircraft. Enjoy hiking, shooting, skiing and biking.

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