FINANCIAL SERVICES & INVESTMENT MANAGEMENT EXECUTIVE
Offering cross-functional expertise in sales/marketing and investment management
Innovative financier and investment strategist with deep expertise in sales, marketing and management of financial products and securities. Natural talent for evaluating prime business and investment opportunities in varying market and industry conditions. Demonstrated success record in stock selection and company valuation techniques that drive revenue growth, market expansion and bottom-line profitability. Strong reputation for “innate market sense.” Core management strengths include:
Risk & Investment Analysis / Marketing & New Business Development / Investor Relations
Information Systems & Technologies / Revenue, Profit & Market Share Growth / Corporate Finance / Organizational Development & Team Leadership / Process Improvement & Cost Reductions
Career Progression:
Consultant, Boston, MA (2000 to present)
Provide investment advice and management expertise to corporate and individual investors seeking optimal ROI; counsel clients on wide range of tactical and strategic issues from investment banking choices to key investor relations. Major clients included Dole Foods, Universal, Playmates Toys and SysteMed. Non-financial work includes contract work for the U.S. Treasury and U.S. State Department.
Success & Achievements:
• Reversed downward trend of company’s stock price by developing effective public relations program to negate damaged company image and reputation.
• Conducted extensive industry and market research for company looking to do a $150 million cash acquisition.
• Helped company build viable relationships with potential investors and provided comprehensive research coverage for investment banking opportunities.
TUCKER ANTHONY INC. (Acquired by Royal Bank of Canada), Boston, MA 1989 to 2000
Steady career advancement marked with promotion to senior-level management responsibilities in marketing, research and investment policy. Appointed by Chairman in 1990 to serve on firm’s Executive Committee; initiated and chaired Investment Policy Committee for Managed Accounts, and played leading role on Commitment Committee. Key positions and performance highlights included:
Executive Vice President, Marketing (1995 to 2000)
Recruited by President of Tucker Anthony to launch the company’s Internet initiative. Maximized a modest budget to incorporate firm’s Internet and Intranet strategies and integrated technologies into corporate business objectives.
Success & Achievements:
• Launched company’s first retail website designed to increase client interaction which drew industry recognition from Barron’s, Yahoo.com, leading investment publication, Online Investing for Dummies, and syndicated television show, Dot.com.
• Developed award-winning Intranet site which received outstanding achievement honor from Web Marketing Association.
• Saved company over $450,000 by containing 80% of the web development activities in-house; saved $30,000/month by delivering research electronically to the retail sales force instead of printing hard copies.
Executive Vice President / Research Director, Hancock Institutional Equity Services (HIES), Tucker Anthony and Sutro & Company (1992 to 1995)
Recruited by Chairman and President to rebuild institutional research firm plagued with poor credibility, stagnant investment performance and insufficient personnel due to widespread layoffs. Managed combined staff of analysts and support personnel in Boston, Cleveland, Los Angeles, New York and San Francisco.
Success & Achievements:
• Reorganized and streamlined department which produced top industry-ranking professionals including:
- Three analysts rated as Institutional “All-Stars” by Institutional Investor.
- Five analysts portrayed by Bloomberg as “Top Stock Pickers”.
- Six analysts ranked by The Wall Street Journal as leading industry experts in their specialty areas.
• Grew firm’s institutional business over 75% and related market share more than 200% by shifting investment focus from small cap securities to a combination of large and small cap securities; gained reputation for recommending top-pick securities which consistently outperformed all market indices every quarter.
• Reduced the department’s budget by 16.5% while increasing the quality of research and upgrading performance.
Vice President / Chief Investment Officer, Freedom Capital Management (1992), an affiliate of Tucker Anthony, Inc.
Promoted to Chief Investment Officer and challenged to repair firm’s industry reputation and increase overall investment performance. Managed $4 billion investment portfolio of mutual funds for institutional and high-net-worth clients. Developed firm’s initial wrap-fee account program for Tucker Anthony and Sutro & Company.
Success & Achievement:
• Restructured entire investment philosophy including investment policies and procedures which elevated firm’s ranking from the bottom one-third tier in performance to the top one-third tier.
Vice President, Director of Marketing / Investment Strategist (1989 to 1991)
Recruited by President to implement initiatives and investment/marketing policy to rebuild business and improve company’s reputation in the industry. Directed sales and marketing strategies for entire scope of retail products including equities, options, mutual funds, insurance, managed accounts and retirement plans. Initiated and authored daily market and industry commentary.
Success & Achievements:
• Accelerated annual revenue growth 93% with limited company resources and zero increase in personnel and financing.
• Orchestrated the successful initial launch of four new Freedom Capital mutual funds; played a major role in the launch of Goldman Sachs’ first equity mutual fund.
• Re-claimed 90% of internal and external marketing costs by establishing vertically-integrated marketing department which incorporated an in-house desktop publishing group.
BANCO DI ROMA, New York, NY
Vice President 1988 to 1989
Brought on board to manage company’s proprietary global trading of cash and derivative instruments.
PAINE WEBBER, New York, NY 1978 to 1988
Vice President / Portfolio Manager, Mitchell Hutchins Asset Management (1982 to 1988)
Assistant Vice President / Research Coordinator, Paine Webber Mitchell Hutchins (1981 to 1982)
Investment Executive, Paine Webber, Jackson & Curtis (1978 to 1981)
Recruited to build retail brokerage business through strategic marketing techniques using public seminars and college-level investment courses. Promoted to manage mutual fund activities including currency transactions for three global funds; served on portfolio management team for industry’s original billion-dollar global income fund. Conceived and established hedging strategies for mutual fund portfolio.
Success & Achievements:
• Channeled equity marketing activities for 4,800-member retail sales force and related client bases.
• Introduced firm’s first PC-based management system for equity management group; also, developed, established the hedging strategies, and legally cleared all of the firm’s mutual funds to be able to hedge their positions.
• Tripled assets under management in 24 months and delivered top investment performance for domestic-balanced mutual fund.
Education & Licenses:
University of Southern California, Los Angeles, CA
Masters in Business Administration – Finance and Marketing
Bachelor of Science – Business Administration
Licenses Held: Series 7, 63, 24, 4 and 65
Government Clearance: Secret |
