Dan Trainor Email & Phone Number

New York, United States

Due to the acquisition of TD Ameritrade by Schwab, I was brought over into a similar role w/ Schwab's Designated Brokerage team. The description of my role now is aligned w/ my experience w/ TD Ameritrade's Designated Brokerage team.

Scarsdale, Ny

• Establish strong corporate relationships with C-level executives at firms that have a need for employee trade surveillance, and serve as main point of contact throughout entire sales process, conversion / implementation and ongoing relationship development.• Identify and maximize retail acquisition opportunities through both in-depth knowledge of the corporate client culture and deep expertise on TD Ameritrade’s retail products, value proposition and sales & service resources.• Work closely with Branch Offices to educate on the service we provide our corporate clients, as a way to help uncover additional opportunities and drive new business into our firm.

Stamford, Ct

• Engage and grow an existing clientele of High-Net Worth clients, working with them to develop a proper asset allocation that is focused on a specific diversification and discipline.• Leverage my knowledge in Modern Portfolio Theory, Black-Litterman forecasting model, and Monte Carlo simulations to help clients maximize portfolio return, while hedging the risk associated utilizing a different array of mutual funds, ETF's, MLP's, Options strategies, and individual securities.• Partner with our Registered Investment Advisory channel, and have gained an in-depth knowledge of the money management style of each Advisor.• Position industry-leading trading platforms for self-directed investors, helping to educate on our highly-innovative technology.

• Implement a top-down sales approach targeting Presidents, CFOs, and HR Directors to convert prospects into clients, developing a committed relationship w/ these C-Level Executives.• Sell ADP payroll services and HR solutions within a protected geographic territory• Cross-sell entire product line of services to an existing base of clients that will help enhance their existing relationship with ADP.

• Responsible for helping clients identify, develop, and implement investment strategies for both short- and long-term financial goals by positioning Fidelity’s full range of products and services.• Initiated face-to-face customer appointments and interactions through referrals, prospecting, lead utilization, and local marketing and seminar sessions.• Intimate knowledge of estate, financial, strategic and income planning.• Managed over 400 client relationships, helping to create and develop a book of business over $300 million.• Awarded Fidelity’s Achiever Award (2007, 2008) and Chairman’s Award (2007).

• Developed and implemented a sales strategy to prospect my business partner’s client base for possible 401k business in small-to-mid market range ($1-$10 million).• Incorporated comprehensive guidelines detailing how plan document design would be structured, 404(c) requirements met and maintained, and initial enrollment meetings and ongoing educational support performed.• Executed a successful business model for improving upon the level of service provided to our client database, including helping to transition high net-worth clients from commission to fee-based planning.

• Successfully marketed and sold a Fidelity 401(k) product geared towards small-to-medium sized companies.• Was integral in 401(k) plan document design preparation, serving as the point person with regards to how the plan document was to be constructed and implemented.• Participated in numerous 401(k) finals presentations with business owners, effectively situating Fidelity’s 401(k) product as one of industry leader, along with conducting seminars for broker/dealer representatives on how to cohesively position 401(k)’s as part of their overall business practice.• Awarded Fidelity’s Delivery Excellence Award and Service Quality Award.

• Served as primary day-to-day contact for many of Putnam’s largest and most profitable clients.• Involved in compliance testing and reporting, interpretation of plan documents, and completion of 5500 forms.

• Personally worked with 130 clients to develop and implement investment portfolios based on their retirement, educational, and tax savings goals.