Lead Central Review and Regional Supervisory Officer teams as well as the Investment Services Group call center platform supporting clients and advisors. Developed a supervisory strategic model and process improvements including the implementation of Sungard Protogent supervision system driving improved efficiencies and effectiveness. Established supervisory reports, staffing models, policies and procedures, scorecards and risk mitigation approaches across four territories. Developed sales practices to capture and refer opportunities identified in client interactions. • Reduced sales practice complaints significantly• Exceed SLA on a consistent basis in the call cente• Improved employee engagement per Gallup Q12 by driving leadership development

Recruited to develop components of the mass market strategy. Led sales development, sales process, cross sell, operations and infrastructure for advisory platform targeting clients below $250K in investable assets. Integrated unit within WFA continuum through partnerships and positioning. Implemented quality assurance and client experience programs. Built investment offering specific to the mass market segment. Spearheaded merger work streams for Wachovia/Wells Fargo in combining like business units across four sites.• Realized FA productivity gains of 45% in new assets, 17% in managed money products, 34% in mutual fund transactions and 132% increase in internal referrals• Integrated limited investment menu for consistent client experience and best practices• Exceeded revenue goals

Work with company clients in executing equity stock option awards. Navigate clients among non-qualified, incentive stock options, cash/cashless executions, stock swaps and other strategies.

SENIOR VICE PRESIDENT, National Retail Office - Business Development (2003 –2004)Developed and led strategies and tactics around sales and marketing initiatives across branches, call centers, operations groups and other units in this nationwide firm to increase business opportunities and build corporate value serving over 3.2M customers. Formed new-found business relationships, defined client segmentation platforms, and increased “share of wallet” and retention among existing customer base. Directed three teams responsible for integration strategy, implementation and retail learning and development• Generated $5M – $121M in new quarterly assets due to leadership role in developing business growth campaigns for 2003 – 2004• Grew third party advisor referrals 60% within 24 months by developing a successful referral program that attracted and secured new advisor relationshipsSENIOR VICE PRESIDENT, Sales and Advice Development (2001 – 2003)Integrated marketing with sales and led business development operations to optimize service quality and strategically directed sales management and business development including outbound call center sales teams. Created, led and trained all aspects of the advice platform project. Partnered with Chief Compliance Officer to ensure compliance of rules, regulations, policies, and procedures of branch network sales in regard to AML, PATRIOT Act, Privacy Policy and Do Not Call policies and procedures. Developed equitable compensation for sales managers and customer relationship officers. • Produced and launched advice offer continuum that grew annual mutual fund assets over $1B creating diverse product revenue streams• Linked Sales and Marketing units to increase business growth potential and secure marketing dollars to promote fixed income products and international business leads• Reduced the cost per new account by 50%

SENIOR VICE PRESIDENT, Western Division (1999 – 2001)Led 8 Regional VPs accountable for 76 branch offices ($42B in assets) and 275 registered representatives as well as the Asia Pacific Division consisting of 6 branch offices ($1.2B in assets) and 2 call centers. • Implemented performance management process to heighten effectiveness of annual employee evaluations, which became adopted by TD Waterhouse as company standard• Exceeded new asset and new account goals of $1.75B and 75,000 new accountsFIRST VICE PRESIDENT, Business Development Branch Administration (1998 – 1999)Recruited by senior executive team to build out sales platform and lead efforts to transition branch network to a proactive sales setting. Developed sales workforce, provided sales and sales management training and coaching, developed customer relationship management (CRM) structure, created achievable sales targets, compensation plans, and lead flow.• Increased sales lead conversions nearly 30% within 12-month period, which doubled converted account assets within first 24 months of project launch• Developed a “Designated Brokerage” service platform which resulted in 60 institutional relationships and $275M in new client assets• Accounts opened with a BDO in person received four times ($40,000) the initial funding level at a 94% funding rate which generated 20% more revenue and had 1/3 less attrition

SALES MANAGER, Metro New York Group (1997 – 1998)Developed and improved sales of 16 branch offices. Implemented effective and qualitative sales strategies and business development initiatives to increase corporate revenue. Analyzed existing sales methods and procedures, determined change processes, and improved business growth potential by influencing employees without direct authority.• Attained “Chairman’s Club” status for the NY Metro Group by exceeding targets in new assets and accounts by 120%• Assisted 12/16 branches in reaching “Chairman’s Club status exceeding targets in excess of 120%BRANCH MANAGER, Jenkintown, PA / Princeton, NJ (1992 – 1997)Managed Pennsylvania and New Jersey business operations, administered sales and business development functions, which combined served over 75,000 clients and $1.5B in corporate assets. • Doubled the account and asset base of the Princeton office within a 2 ½ year periodTRADING SUPERVISOR – CT, 1990 – 1992 • REGISTERED REPRESENTATIVE – NY, 1986 – 1990