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 /.
• 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.
• 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.
• 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.
• 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.