Sales Manager

CHRIS B. RADFORD

**********@**.*** 858-***-****

Decisive senior-level financial services executive with successful experience in leadership, business consulting, strategic and business planning, business development, operations and technology, sales and marketing, financial analysis, acquisitions and administration.

Lead family-owned independent RIA/broker-dealer through infrastructure retooling and record growth.

Directed Wealth Management teams at regional and national banks for maximum share of wallet.

Drove a 20% increase in independent advisor channel production and 40% increase in business development results.

Developed sales and marketing plans for advisory platform AUM growth of $3.5B over 4 years.

Successfully managed value added relationships and economic increases in strategic partner relationships.

Executed on technology solutions for sales, operations and customer service in bank broker/dealer program.

Results-oriented manager who quickly establishes goals and builds relationships, promoting team successes and individual achievements through direct action and initiative.

__________________________________ PROFESSIONAL EXPERIENCE___________________________

CBR, LLC, San Diego, CA 2010 - Present

CEO/Consultant

Consulting firm dedicated to helping independent financial services firms (financial advisors, mutual funds, broker- dealers and RIAs) achieve their goals in business consulting, marketing, compliance and operations. Specializing in risk management and accelerated growth opportunities.

Launched new concept, an independent investment banking broker dealer.

Assist firms with FINRA New Member Application Processes.

Support new mutual fund advisor facing communications.

Develop strategic marketing plan for start-up registered investment advisor.

Works with financial advisors on business model migration and succession planning.

VSR Advisory/Financial Services, Overland Park, KS 2007 - 2010

President and CEO, Board Director

Responsible for increasing new GDC by 200%, increasing pre-tax revenue by 33%

Launched an annual strategic planning and budgeting process, including providing the change management necessary to integrate into the organization.

Modernized technology delivery and solutions for RIA/broker-dealer.

Initiated a wealth management department focused on broader and deeper client relationships.

Increased business development levels by 200% with 18 months through systemic reprocess of the BD story.

2010 achievements include: Top Ten AUM per Rep at $33M, Top 5 in Average Total Revenue per Rep at $316,000 and 73% of advisors had production greater than $100,000, increased pre-tax revenue by 33%.

AIG Financial Advisors (Now SagePoint Financial), San Diego, CA 2002 - 2007

Executive Vice President, National Sales

Directed national business development, branch supervision, business consulting and sales and strategy for large independent broker–dealer.

Served on Executive Committee, driving direction and strategy for the company.

Devised strategy for and implemented comprehensive business development strategy for new financial advisors increasing same store sales by 40%.

Created value added business consulting program for the recruitment and retention of independent reps, with two proprietary coaching programs. An added benefit of successfully integrated strategic partner relationships into advisor's business models.

Devised and implemented comprehensive business development strategy for new financial advisors.

Managed first line supervision of independent OSJ managers (450) and registered representatives (1800).

WASHINGTON MUTUAL, INC., Irvine, CA 2000 - 2002

Senior Vice President, Financial Services Group

National Sales Manager, Member of Investments Business Line Executive Committee

Directed sales management and distribution for bank broker/dealer of 675 brokers in thirteen states overseeing a staff of 30 regional managers.

Developed comprehensive improvements in broker and sales management compensation supporting increased production and retention.

Produced “best practices” for brokers promoting teamwork and mutual increased production for bank branch environment

Chief Administrative Officer

Oversaw all administrative departments for broker-dealer and mutual fund complex, including Compliance, Information Technology, Call Center, Brokerage Operations, Project Office and Mutual Fund shareholder services.

Facilitated successful integration and conversion for two broker/dealer acquisitions.

Managed to a client-centric service delivery resulting in an 80% reduction in error rates as well as increased client service levels in customer contact areas.

Drove adoption and implementation of eCRM system, Filenet imaging and data warehouse systems for front-to-back office use.

Championed and executed the consulting a front end, web based new account system utilizing Siebel technology.

MAIN STREET TRADING COMPANY, Aliso Viejo, CA 1998 - 2000

Director of Sales and Training

PNC INVESTMENTS CORP., Pittsburgh, PA 1997 - 1998

Senior Vice President, Market Director

UB INVESTMENT SERVICES, INC. (Union Bank), Los Angeles, CA 1993 - 1997

Vice President, Administration

Vice President, Regional Sales Manager

HOMEFED INSURANCE/GNA SECURITIES, INC. (HomeFed Bank), San Diego, CA 1987 - 1993

Regional Sales Manager

Account Executive

PRINCIPAL SECURITIES, INC., San Diego, CA 1986 - 1987

Independent Contractor Advisor-403(b) Market

___________________________________________EDUCATION___________________________________________

B.B.A., Business Administration National University San Diego, CA

M.B.A. (in Progress AUG 2013) National University San Diego, CA

Professional Licenses: FINRA

Series 4 – Options Principal Series 66- Investment Advisor

Series 7- General Securities Series 79 - Investment Banking

Series 24- General Securities Principal Series 99- Operations Professional

Series 63- Uniform Securities

KS Life, Health and Variable License

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