➤ Team Leadership & Mentoring – P&L Management – Consultative Sales➤ Investment Management – Financial Planning – Customer Service Excellence ➣ Leverage multiple years of investing and value creation experience to help drive efforts across the investment life cycle, including consultative sales, deal sourcing, deal execution, portfolio management and exit of portfolio investments.➣ Serve as the spokesman for the bank in multi-million and billion dollar deals.Integral member of Hilltop Securities Leadership Council (2012-2021) and Hilltop Securities Advisory Council (2015-2021).➣ Dramatically improved assets under management, fueling 500% revenue increase over 9 years. ➣ Capitalized on a competitive geographic position (between Houston and Galveston) to service industry retirees, entrepreneurs and institutions.➣ Grew book of business (AUM) over the 9 years – asked strategic questions, gained insights on clients financial planning needs and recommended attractive investment programs/products/packages.➣ Cultivated a customer-centric culture, focusing on continuing education initiatives, culture of collaboration and commitment to excellence.➣ Developed trust-based counseling relationships with portfolio executives and senior leadership.➣ Established strong client relationships resulting in increased YoY revenue growth and a strong pipeline of referrals.➣ Displayed knowledge and ability to determine and satisfy client needs and maintain a partnering relationship during engagements, including influencing, communicating, presenting, facilitating, managing and developing others.

➤ Team: 7 | Chairman’s Circle Advisor (2003 – 2012) | Assets Under Management Growth➤ Team Building, Leadership & Mentoring – Revenue & Profit Growth – Market Share Expansion➣ Surpassed organizational objectives during the tenure, even during several world-wide economic + organizational challenges – Ex: acquisition of Edward Jones & Co., merger of Wachovia Securities + Prudential Securities, and finally acquisition by Wells Fargo.➣ Hired, trained and led a team of financial consultants and client service associates in astutely managing financial and investment planning, investment management, fixed income sales & trading and client service.➣ Positioned Wachovia into the top tier of the corporate league tables for Investment Grade Credit – hired and trained five brokers/advisors in credit and rates trading and portfolio management.➣ Infused hundred billion plus in AUM by onboarding several national insurance client companies and providing them with longer term investment grade credit products (cash and derivative solutions).➣ Raised and managed millions in private client assets and brokered billions in institutional fixed income trades across the largest Houston market.➣ Secured millions in private and foundational assets under management by shifting focus from institutional clients to private clients and family offices.➣ Transitioned transaction model to a recurring revenue model to increase team profitability – onboarded new private clients with millions in AUM - offered credit and bond market solutions to secure investments from high net worth clients.➣ Developed future leaders. Hired and trained multiple team members over the years, two of which are now SVP and top producing advisors at Hilltop Securities.➣ Consulted with appropriate departments, created formalized communication plans and training tools, and prepped clients and internal teams on what to expect moving forward.

Institutional fixed income sales at J.C. Bradford & Co. until their merger into UBS Investment Bank. Primary focus was on community and regional banks, insurance companies and public funds.

Institutional Sales specializing in community and regional banks, public funds, insurance companies and other institutional investors with a focus on credit products, mortgage backed securities, U.S. Government securities, and tax free and taxable municipal debt securities.

Joined Masterson Moreland Sauer Whisman, Inc. in institutional sales specializing in community bank Asset and Liability Management and public funds. MMSW merged into First Southwest Company in 1996 where I continued in the same role working with the firm's MC Planning Systems division.

Managed a commercial and real estate loan portfolio serving small businesses and professional and executive relationships for this locally owned community bank. University National Bank was acquired by Charter Bancshares in 1993.

Served as a M&A analyst to the chairman reviewing and analyzing potential failed banks in Texas. As a company we successfully bid, assumed, acquired and eventually merged 3 failed banks into subsidiary banks with FDIC assistance. Transactions included First National Bank of Buna, First National Bank of San Augustine and Tomball Bank & Trust. Duties included attending bidders information meetings with the FDIC, serving on the due diligence and asset review team, distressed asset workout and served on various credit and loan review committees of the acquired institutions.