Resume help for financial please!!

**PalmBch2002** · 12-09-2005, 06:39 AM

My DH and I are thinking about relocating from Sunny South Florida to the beautiful Charleston, SC area soon. He is currently a broker with Smith Barney and would like to stay in the same job field. He has never had an interview or a resume since he has been with SB since he was interning in college. Could someone please look over hi sresume that I put together and proof it. I have never done a "professional" resume, just my simple admin assist one so I don't know if this is good and what people are looking for. Please give me all the critiscm that I need!! I want to make this good. Thanks!
Sorry that the format didn't quite come out. It looks good in word though.

DH Name

OBJECTIVE
Seeking a position that enables me to grow a successful long-standing business.

EXPERIENCE
2/2004 - Present Smith Barney West Palm Beach, FL
Financial Advisor
 Worked with a team of brokers focusing their business on offshore banks and trust companies
 Managed over $400 million in equities, fixed income and alternative investments
 Created strategic asset allocation plans for clients and client prospects
 Designated Financial Planning Associate by Smith Barney

10/2001 - 2/2004 Smith Barney West Palm Beach, FL
Portfolio Analyst
 Created proposals using financial programs such as Zephyr and Polaris
 Monitered accounts for asset allocation shifts
 Drafted personalized investment policy statements
 Researched money managers for client portfolios

Summer 2001 Palm Beach Atlantic University West Palm Beach, FL
University Telecounselor
 Assisted Administration office with data entry for student files
 Gave tours of the campus for incoming students
 Cold called student prospects with information on the university

1/2000 – 10/2001 Kravis Center West Palm Beach, FL
Guest Service Representative
 Supervised volunteers during performances
 Greeted and assisted customers with complaints or questions
 Distributed programs before all performances

EDUCATION
1999 - 2003 Palm Beach Atlantic University West Palm Beach, FL
 B.A., Communication and Marketing
 Member of Lambda Pi Eta (honor society of the National Communication Association)

SKILLS
 Microsoft Excel, Word, Powerpoint and Outlook
 Zephyr and Polaris
 Competitve self-starter and dedicated worker
 Series 7 and 63 licensed

• address and contact info

**colleenjoy** · 12-09-2005, 07:16 AM

i would leave out the jobs he had (i'm assuming) in college, University Telecounselor and Guest Service Representative, since they don't really relate to what he is doing now.

maybe change the objective to include something about continuing the career path he has started on

To continue my career in the financial services industry allowing me to (create/manage/build) a successful long-standing business

other than that i think it looks good

Colleen

**sophiapb** · 12-09-2005, 08:05 AM

His Series 7 and 63 should be posted right at the top, probably underneath his job objective. You should list them like this:

DH Name

OBJECTIVE
Seeking a position that enables me to grow a successful long-standing business.

LICENSES
NASD Series 7 and 63

EXPERIENCE
2/2004 - Present Smith Barney West Palm Beach, FL

That is one of the first things I look for on a resume and a prospective employer shouldn't have to search for such an important piece of information. I have a 4, 7, 9, 10 and 25 and want to announce it from the rooftops whenever someone inquires about my registrations.

I would also add something to the objective that makes it sound like the company is benefitting by hiring this person. Something like:

OBJECTIVE
Seeking a position that enables me to grow a successful long-standing business and enhance the company's relationships and future prospects.

Okay, that's pretty fluffy but you get the idea.

**looch** · 12-09-2005, 08:59 AM

I agree with Sophiadp. I only have my 7 and 63, but plan on getting my 24 next year, and that should be very prominent.
I would also eliminate anything non financial services related. did your Dh do any webpages or technology related stuff? It never hurts to include that stuff if it was done, because it relays that up to the minute technology trainging. I would also put something about how many assets he helped to gather. that's huge these days. everyone talks about net new money.
He should be prepared to talk about how many accounts might be coming over with him, if any. That could mean a nice signing bonus.

**PalmBch2002** · 12-09-2005, 10:50 AM

Thanks so much for your help! I made the changes you all suggested - putting the licenses at the top looks much better.

However - the suggestion was made to eliminate all jobs that didn't pertain to finance. Wouldn't you think that leaving the Kravis center GSR job on would be good? Like it shows he has leadership? Or has worked somewhere else besides Smith Barney? You don't think that having just one workplace would be a disadvantage to him?

**colleenjoy** · 12-09-2005, 11:09 AM

i think working for the same place since college and and only working for one place is not bad at all. he is relatively new to the "career world" since he graduated in 2003, so one job isn't bad, especially since he worked there in college and they kept him on after. if he didn't have good skills they wouldn't have given him a "real" position.

i think this only applies if he is still relatively young, say in his 20's, if he was in his 40's you would need to include prior employment that wasn't financial just to show he wasn't a bum for 30 years then got a job

has he thought about doing an internal transfer at sb? he should look into that if he hasn't already.

Godd Luck
Colleen

**PalmBch2002** · 12-09-2005, 11:26 AM

Colleen -

Thanks for all the info. We are in our mid-20s so the whole job/career and resume thing is still new to us. He has thought about an internal switch in SB but other than operations there really is no where for him to go. He's a broker and really wants to stay as a broker adn working with clients. Unfortunately he works with overseas and international banks and trust companies so if he was to switch to another large institution there really would be no big sign on bonus since he doesn't have any of his own clients to bring with him. So even though he's worked at SB for a while adn has licenses and all he really is kinda starting at the beginning again.

**sophiapb** · 12-09-2005, 12:17 PM

Originally Posted by looch

I agree with Sophiadp

Aww, geez, Looch, not you too! People keep mixing up me up with Sophiadp, even me! I've caught her name on threads and done double takes thinking "I don't remember posting that!" until I realized it wasn't my post.

She used to be SophialovesLuis on the WC and even then posters would confuse us even though I also went by sophiapb on the WC. She recently changed her name to SophiaDP so hopefully the confusion will end.

**looch** · 12-09-2005, 12:18 PM

I see broker trainees every week at my place of employment. It's a hard job, no doubt, about 97% have trouble gathering assets, and have to leave the business. If he has no clients to bring with him, he should probably think about what it is that he has to offer a team of brokers.
Is he a specialist in fixed income? Did he average a certain rate of return in certain investment strategies? Does he have a working knowledge of issues relating to non-resident aliens?
The reason why I say this is that every broker is registered, and they all do asset allocation and manage equities, fixed income and alternative investments. What's different about your DH? Why should a branch manager hire him over some other broker that has a client base? I am friendly with a lot of branch managers and they will tell you they want to hire people with assets to bring over, that they don't have to pay a salary. They want commissioned salespeople these days.
I have been in the business for almost 9 years, I hope I don't come off sounding harsh.

soph..yeah, i was wondering what happened to her avatar!!!!!
anyway, sorry for the confusion! see ya around!!!!!!