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Click here or scroll down to respond to this candidateCandidate's Name , NQPASaint Paul, MNLI Profile: https://LINKEDIN LINK AVAILABLEProfessional Summary:Seasoned Financial Services Professional with over 15 years of experience specializing in employer-sponsored retirement plans.Proven track record in driving business growth through strategic sales, relationship management, and the development of comprehensive retirement solutions.Adept at navigating complex regulatory environments, including ERISA, and providing fiduciary guidance to plan sponsors and participants.Demonstrates strong collaboration skills with internal partners and external centers of influence, resulting in enhanced client satisfaction and business development.Holds multiple industry certifications, including FINRA Series 6, 63, and 65 licenses, as well as the NQPA designation, underscoring a deep commitment to professional excellence.Skills:Technical Expertise: In-depth knowledge of ERISA, retirement plan design, and fiduciary responsibilities, ensuring compliance and optimal plan performance.Analytical Systems: Proficient in RPAG, fi360, and Envestnet ERS analytical tools, enabling data-driven decision-making and enhanced plan management.Sales & Marketing: Strong sales and marketing acumen, with a focus on client engagement, needs analysis, and closing strategies. Proven ability to coach and mentor advisors to achieve sales targets.Communication & Collaboration: Exceptional communication skills, with a demonstrated ability to build and maintain relationships with clients, internal teams, and external partners.Education:University of Wisconsin - River Falls - Bachelor of Fine Art in Education Studies - Not completedPark High School, Cottage Grove High School DiplomaCertifications & Licenses:FINRA Series 6 & 63 LicensesNASD Series 65 LicenseNAPA NQPA DesignationCompleted Coursework:fi360s AIF DesignationProfessional Experience:Financial Advisor, Saint Paul, MN Oct 2021 PresentMidwest Secure RetirementResponsibilities:Spearhead the development and management of a diverse client portfolio, focusing on the identification and fulfillment of clients' retirement planning needs.Conduct comprehensive needs assessments to tailor retirement solutions that align with each client's financial goals.Leverage a network of centers of influence, including estate planning attorneys and certified public accountants, to expand business opportunities and foster a collaborative environment that enhances service offerings.Provide expert advice on fiduciary responsibilities, ensuring clients adhere to regulatory requirements while optimizing their retirement plan offerings.Design and implement targeted marketing strategies that highlight the unique benefits of Midwest Secure Retirement's services, leading to increased client acquisition and retention.Advisor Group, Saint Paul, MN Oct 2017 Feb 2021Senior Retirement Plan ConsultantResponsibilities:Guided financial advisors in the development of robust, scalable business models for their retirement plan practices, ensuring alignment with broker-dealer policies and industry best practices.Partnered with attorneys, CPAs, audit firms, and other financial professionals to create integrated solutions that addressed clients' comprehensive financial needs, driving growth across multiple service lines.Led initiatives to streamline the sales process, from prospecting to closing, resulting in increased sales efficiency and enhanced advisor performance.Provided advanced coaching and mentoring to advisors, focusing on sales techniques, client engagement strategies, and the intricacies of retirement plan administration.Freelance, Saint Paul, MN Jun 2016 Oct 2017Retirement Plan ConsultantResponsibilities:Offered specialized consulting services to financial advisors, focusing on the design and implementation of qualified and non-qualified retirement plans.Conducted vendor searches and negotiated service agreements to secure optimal terms for clients.Delivered customized sales training to advisors, equipping them with the tools and knowledge necessary to effectively market retirement plans to potential clients.Cultivated and maintained relationships with key centers of influence, including attorneys and CPAs, to drive referral business and expand market reach.CapTrust Financial Advisors, Saint Paul, MN Apr 2014 Jun 2016Senior Client Management ConsultantResponsibilities:Managed a portfolio of high-value clients, providing tailored advice on retirement plan design, vendor selection, and fiduciary responsibilities.Ensured all plans were compliant with ERISA and other regulatory requirements.Supported advisors in their sales efforts by providing in-depth analysis and recommendations on plan options, helping them to close deals and grow their book of business.Liaised with plan vendors to ensure that clients received the best possible service and pricing, negotiating terms and resolving issues as needed.Diversified Wealth Management, Saint Paul, MN Mar 2007 Apr 2014Vice President Of Retirement Plan ServicesResponsibilities:Led the Retirement Plan Services division, overseeing sales, client service, and operational functions.Drove division growth by developing and executing strategic initiatives focused on client acquisition and retention.Provided comprehensive advisory services to plan sponsors, guiding them through plan selection, implementation, and ongoing management.Ensured that plans met the needs of both sponsors and participants, while adhering to regulatory requirements.Built and maintained strong, long-term relationships with key stakeholders, including CPAs, attorneys, and other financial professionals, to support client needs and drive business growth. |
