$330,000 AUM | $79,000 Rev in
Carlsbad, CA

I'm an award winning financial planner with advanced skills at assessing clients and making recommendations they will implement. My hope is to join an advisor or firm to help cultivate the client relationships, improve referrals, initiate powerful COI meetings, and close more business.

My uncle told me to when I was 18 years old to buy stock in his company, which I did (I sold it too soon, however). That led me to becoming a business news junky, wanting to become a stock broker, and studying economics at Columbia University under Nobel Prize winner, Robert Mundell (he won it many years after I graduated).

The family interior design business in Old Greenwich, CT, is where we would decorate homes tastefully to match our high net worth clients’ preferences. Our clients would love and enjoy their homes for years to come, which brought us repeat business and many referrals. My father taught me to say yes to any customer request.

Tailoring financial plans in the same manner enabled me to win the Quality of Advice Award twice at American Express Financial Advisors (now Ameriprise), and the President’s Award (given to the best of the Quality of Advice Award winners), as well as become a member of the Advanced Advisor Group. The firm trained me to become a master presenter, which allowed me to present retirement seminars given to AMEX cardholders where I was able to convert 85% of attendees into office consultations for the participating advisors.

At LPL as the Senior Planning Specialist, I would speak with 20 to 30 advisors from around the country who needed advice on advanced planning matters. Many of the calls would start with, “I got this guy …” and I would coach them on the questions to ask. I helped with the recruiting efforts of advisors and advising colleagues in other departments as well, which led to my receiving the Pier Award.

At PlanPrep, advisors at some credit unions have had me create plans and present them to their clients. This allowed the advisors to convert high net worth prospects into clients that they didn’t know how to approach before. One advisor captured the biggest client in that credit union’s history with the first plan I presented for him. Another advisor now only meets with prospects who have at least $1 million or more to invest.

My fact finding skills allows me to discover what’s important to the prospects right now, so we can help them make informed financial decisions about their objectives. By reviewing all of their documents in great detail, I’m able to find any holes in their investment, tax, insurance and estate planning that may exist and develop strategies to close those gaps. Frequently, this leads to contacting their CPA or referring them to a competent estate planning attorney.

The reports in the plan show them where they are headed financially followed by recommendations of any corrective action any if we are not involved. This leads to clients implementing most, if not all, of the recommendations, because it is based on their primary objectives and our professional observations.

You will find me to be very personable, energetic, a team player, able to strengthen client relationships, able to present concepts in plain English, and a student of the industry.

Note that even though I do not have a series 7 currently, reinstatement can be obtained easily based on my continued registration as an investment adviser. Also, I am currently living in California, but would move back to my mother’s home in Riverside, CT for this opportunity.

I hope you will give me strong consideration. I look forward to hearing from you!