MANAGING DIRECTOR / SALES MANAGER / REGIONAL MANAGER
 

	An enthusiastic, ambitious, and reality-tempered optimist who delivers team oriented management and direction, utilizing well thought out analysis, forecasting and planning tools, as well as his experience in directing, building, and managing marketing organizations, investment banking firms, and other organizations, to attain the owner's and their Stockholder’s goals. He attains the objectives that he sets out to reach and does so with integrity, credibility and focus, while maintaining control of costs, compliance, and personnel relationships, while maximizing the talents and strengths of those people with whom he works. ___________________________________________________________ PROFESSIONAL EXPERIENCE
	1992–Present  National Sales Manager, Managing Director, Regional Manager Directly responsible for the recruitment, oversight, direction, acquisition and productivity of experienced and productive registered representatives, investment banking, and support personnel. Defining goals, including profit objectives and their means of attainment, are part and parcel of the duties and responsibilities that accompany senior management roles in the securities and financial services industry. Develop and identify, if new products and avenues of distribution that fit the needs of the market are major contributors to the productivity of the sales force and its ability to generate revenues . Increased gross revenues, collectively, through acquisition and recruitment, by over $5,000,000 per year. Effectively managed and developed sales forces and attendant support staffs ranging from 12 to 200 persons. Established Investment banking product and presence for two firms resulting in fee income of $600,000 in first six months. Restructuring of a remote branch location resulted in saving the firm hundreds of thousands of dollars in income as well as potential liability. Reduced costs and overhead as well as raised capital for a firm threatened with insolvency, which resulted in not only its survival, but moved it into a leadership position in its market..
	1987–1992 Major U. S. Banks California, Arizona, Nevada Regional Sales Manager Built multi unit region consisting of 173 sales and support persons that, from inception at zero, was producing sales of $2 billion dollars annually and $15 million per year in gross revenues, within 24 months.. Developed compliance as well as policy and procedure structure for licensed and registered sales force of over 300 salespersons. Performed due diligence on and introduced new products, which became the basis for over $1 billion in sales volume, per year, to affiliate banks.
	1982-1987 So. California Registered Representative, Sales Manager, Branch Manager Recruited over 100 Registered Representatives for branches under my management. Introduced and marketed the first GNMA offering done by the NYSE member firm of Hornblower and Weeks, Hemphill-Noyes. Developed my own business, as a broker, utilizing outside money managers and insurance products.
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	. EDUCATION         Pasadena College, Pasadena, CA Graduated-AA, History/English         Kensington University Glendale, CA Graduated-BA, Business Management/Bus. Law        Kensington University Glendale, CA Graduated-MBA, Business Management-Behavioral Psych.

Certifications and Licenses

PROFESSIONAL AFFILIATIONS

San Diego Stock and Bond Association, University Heights Planning Council, University Heights Park and Recreation Council, University Heights Community Association, Bonita Men's Golf Assn., Balboa Men's Golf Assn. Who's Who in Finance and Industry, Who's Who in California.