Actively seeking a new opportunity within the Financial Services Industry.

Oversaw a team of highly successful Financial Advisors delivering a holistic client experience through the accumulation and growth of financial portfolios, protecting and preserving assets, and planning for distributions in the most tax efficient way. Managed the Western New York region covering 48 retail branches, 22 Financial Advisors and 55 Licensed Bankers with over $1 billion in assets under management generating $10 million in investment and insurance revenue. Partnered… Show more Oversaw a team of highly successful Financial Advisors delivering a holistic client experience through the accumulation and growth of financial portfolios, protecting and preserving assets, and planning for distributions in the most tax efficient way. Managed the Western New York region covering 48 retail branches, 22 Financial Advisors and 55 Licensed Bankers with over $1 billion in assets under management generating $10 million in investment and insurance revenue. Partnered with retail and private bank providing a seamless transition from client financial wellness discussions to implementing wealth strategies with Financial Advisors and Wealth Managers. Surpassed annual goals from 2013 through 2018 with average annual revenue growth of over 10%. Implemented Cannon Sales Process integrating financial planning (MoneyguidePro) into the Financial Advisor platform to provide an enhanced client experience. Managed Office of Supervisory Jurisdiction (OSJ) requiring trade review, email surveillance, C-share and Annuity trend analysis, resolving customer complaints as well as all other FINRA regulatory and risk management requirements.  Initiated a licensed banker coaching program centered on improving value and transition statements through roleplay and objective feedback. Qualified for LPL Masters and Directors annual incentive trips based on achievement of annual goals. Obtained extensive knowledge of Pershing and LPL clearing and advisory platforms. Show less

Directed the Fixed Income and Equity sales and trading business lines across the M&T Bank footprint. Managed 15 sales representatives, 4 bond traders and 8 stock traders generating $12 million in sales revenue at the height of the market, with $4 billion in assets under management. Oversaw compliance and risk management requirements of FINRA and MSRB regulatory agencies.  Promoted to Senior Management as an Administrative Vice President. Expanded a business model of selling… Show more Directed the Fixed Income and Equity sales and trading business lines across the M&T Bank footprint. Managed 15 sales representatives, 4 bond traders and 8 stock traders generating $12 million in sales revenue at the height of the market, with $4 billion in assets under management. Oversaw compliance and risk management requirements of FINRA and MSRB regulatory agencies.  Promoted to Senior Management as an Administrative Vice President. Expanded a business model of selling fixed income securities to the Commercial Bank’s clientele of corporations, local governments, healthcare and not-for-profit entities, and financial institutions. Realized a 71% improved in annual revenue production over a 3 year time span by developing strategies and tactics for revenue generation.  Introduced a sales strategy of niche products to corporate executives offering stock option exercises, stock buy-back plans, complex options strategies and margin trading. Improved Employee Engagement results for three consecutive Gallup surveys. Successfully responded to FINRA and SEC inquiries regarding Auction Rate Securities and Bernard Madoff regulatory enforcements resulting in no action taken against the M&T sales teams. Show less

Directed a team of professionals in the management of a broker-dealer generating $75 million in revenue with over $10 billion in assets under management. Handled financial, accounting, compensation, regulatory and management reporting. Realized a 35% annual improvement in return on revenue for the broker-dealer in 2004 and 2005 by implementing revenue generation and expense reduction initiatives.  Administered a comprehensive compensation strategy for the sales force and sales… Show more Directed a team of professionals in the management of a broker-dealer generating $75 million in revenue with over $10 billion in assets under management. Handled financial, accounting, compensation, regulatory and management reporting. Realized a 35% annual improvement in return on revenue for the broker-dealer in 2004 and 2005 by implementing revenue generation and expense reduction initiatives.  Administered a comprehensive compensation strategy for the sales force and sales management team that ensured integrity, scalability and functionality. Evaluated and analyzed industry trends and product and service gaps. Benchmarked competitors in key performance areas and made recommendations for improvement within the broker-dealer. Managed a merger and acquisitions team that provided NPV modeling and sensitivity analysis on potential broker-dealer and independent financial planning practice buyouts. Determined optimal purchase prices, presented letters of intent and negotiated purchase price and earn-out contracts. Show less