Ricardo Daley, Mba Email & Phone Number

San Antonio, Texas, Us

I am an experienced investment management professional with expertise in retirement planning, business development, mutual fund, ETF and building rapport with individuals and company executives and HR Departments. Best known for vast knowledge of financial markets and 401 (K) plan design. I am seeking new opportunities. You may reach me via Linkedin or at daleyricardo8@gmail.com. Thank You, Ricardo

Westlake, Ohio, Us

Charged with special projects. Restructure delinquent and defaulted participant loans. Used IRS Loan Voluntary Correction Program (VCP) and Self Correction Program (SCP) to bring loan current or deemed.•Collaborated with third party administrator and plan sponsors on design, alternative investments, tax reporting and Solo 401(k)s to ensure regulatory compliance. •Built relationships with clients, C-level executives, plan sponsors and business owners to ensure continued plan retention and business development. Acquired 5 new multiple participant 401(K) plans. Achieved an exceptional retention rate of 80+%. •Acquired and on-boarded 401(K) plans. Performed as the single point of contact for all things plan related to ensure efficient execution. •Analyzed census data, payroll data, plan structure and design to ensure DOL compliance. • Collaborated with Financial Advisors to create investment fund line up for the plan.•Performed annual compliance testing, IRS regulatory filings and annual participant notifications to ensure regulatory compliance achieving a 100% pass rate. •Prepared form 5500 federal tax filings, plan conversions, amendments and plan document restatements.

New York, Ny, Us

Sourced prospective clients. Managed and developed and grew a book of business to meet and exceed pre-defined goals. Recommended investment products and services are suitable for prospects and clients based on goals.

Rochester, Ny, Us

Managed defined contribution plans. Developed strategies to manage and provide solutions for 120 of the company’s largest and more profitable institutional clients.• Performed as single-point-of-contact for highest revenue clients with a total book of business of $130M.•Ensured plans met compliance and regulatory requirements and assisted clients with filing.•Cultivated relationships with financial advisors to develop and apply strategies to grow business and increase the breadth and depth of clients served.•Grew book of business by 25% and added 10 new 401(K) plans. •Exceeded expectations on client satisfaction surveys. •Conducted web seminar and onsite meetings with clients and employees which encouraged maximum employee 401(k) plan participation.

San Antonio, Texas, Us

Managed a book of business of high net worth clients and executed all trades including Equities; Derivatives; ETFs; Fixed Income and Mutual Funds. •Conducted all trading activities for investment clients and placed complex trade orders. •Provided clients with information to make educated decisions about transactions.•Discussed market trends with clients.

San Antonio, Texas, Us

Supported external sales management consultant team and investment clients for the Investment Management Company – Mutual Funds and ETF platform.•Supervised and coached junior investment representatives. •Built trusting and productive relationships with external financial advisor channels. •Increased USAA platform presence for Mutual Fund and ETF business by 20% through various Financial/Independent Advisor and RIA channels.•Increased overall assets by 10+% year over year through deepening relationships with existing clients and referral sources from our internal partners.

Valley Forge, Pa, Us

Provided education, guidance, and service execution to clients and plan participants. Executed more than 2,000 advanced financial transactions and performed institutional asset management. Presented asset allocation strategies to 401k participants designed to strengthen investment portfolios and made appropriate recommendations.

Shawnee Mission, Ks, Us

Developed financial plans and risk management solutions to meet needs of prospective clients. •Utilized managed portfolios ranging up to $5M to invest client assets and to make alternative investments generating $400K in new business in 18 months.•Developed and facilitated investment and retirement product seminars for potential and existing clients. Acquired new business, 15 new clients and $3.5M new assets.•Managed company-sponsored retirement plans and interacted with human resources directors to expand understanding of respective plans.

New York, Ny, Us

Met with new and prospective clients to develop customized and comprehensive financial plans. Managed $25M in assets for a book of 30 high net worth clients.•Created decision matrix to screen and analyze money managers, Mutual Funds and ETFs which streamlined the investment process, acquired 10 new clients and $2.5M in new assets. •Acquired a $5M 401(K) plan through networking, marketing, and building business relationships.

Us

Managed investment operations for two $5M+ retail branches; developed and implemented banking and investment strategies; met with potential and existing business clients. •Member of the leadership team; coached, trained and developed CSRs on generating investment sales leads; held weekly training meetings for CSRs and leadership team.•Analyzed financial statements for small business clients to develop business and financial plans.•Secured $1M in new investments within seven months, contributing to the branch’s Number 1 ranking out of 20 banks in the region.

Mba, Finance

Designation/Certificate, Financial Modeling And Valuation

Bachelor Of Arts, Accounting And Business Administration