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<pre>Array ( [var] => cut_url ) </pre> Resume for Faraz K. for Other / Financial Services in Los Angeles, California. Search More Resumes for Other on #WPTSIXVSH

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Resume for Faraz K. for Other / Financial Services in Los Angeles, California

Occupation: Other Industry: Financial Services
Country: United States City: Los Angeles
State: California ZIP: 90017

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Columbia Ave. apt. , Los Angeles CA
EDUCATION: University of Toronto, Toronto, ON
Bachelors of Business Administration, Finance Class of
• Microsoft Office Specialist; Experienced with Access, Excel Financial Modeling, Power Point
• CFA Institute: CFA Level I Candidate
• Series , Series
EXPERIENCE: Veritrust Financial LLC, Redlands, CA
Investment Advisor Representative Investment management and financial planning
Veritrust Financial is a broker/dealer and Investment Advisor registered with FINRA and the SEC.
• Advised clients that made up a $M AUM book on financial planning solutions
o Constructed and examined portfolios to meet client’s risk tolerance and investment objective
Average portfolio size: $k
o Setup retirement plans for client’s IRA’s, k, b, simple k that fit their tax and employment
o Placed trades and managed accounts that consisted of individual stock, bonds, mutual funds, ETFs
and options on the Pershing platform.
• Produced new business for the firm over $ M and counting YTD.
o Created and implemented a referral system that placed me in front of leads a week for a on
financial consult.
o Conducted client education seminars to inform clients on various financial issues and strategies.
o Acquired small business owners strategically through referral networks and cold leads to set them
up with retirement plans.
The McGlothlin Group, Redlands, CA
Operations Manager Investment Management and Business development
The McGlothlin Group provides insurance and other financial services with an emphasis on financial planning that
incorporates health insurance. I partnered with a veteran Advisor and founder of the company to streamline his
year old advisory and insurance practice that caters to clients.
• Changed the business model from a commission based model to a fee based model that utilized turnkey
o Improved efficiency by cutting down on paperwork
o Removed certain conflicts of interest that are inherent in the commission structure
by giving the clients unbiased options.
o Generated revenue for the firm by adding an additional bp at the same time reducing
transaction costs for clients.
• Screened, hired and trained administrative staff in the use of MS office applications with an emphasis on
Excel to generate client portfolio performance models.
• Improved company’s online presence by setting up a website that had a built in insurance quote engine
which led to reduced paperwork and ease of access for prospective clients.
• Setup a CRM system to manage the client accounts and to keep digital records of all important
information which improved efficiency by reducing paperwork and time spent searching through physical
• Implemented a summer internship program through my relationship with the city of Redlands to educate and
train college students that aspire to enter financial services.
• Created a referral program that used the advisor’s existing client base to generate more % new business
Royal Bank of Canada, Toronto, ON
Financial Advisor Associate Brokerage Services
RBC Dominion Securities is the brand used by Royal Bank of Canada for full service brokerage services primarily
in Canada. It forms part of RBC’s Wealth Management division.
• Designed and implemented a marketing campaign for advisors that consisted of a tier approach: Direct
Mailing, Cold Calling, and Educational Seminars
• Organized seminars for the advisors and coordinated speakers from affiliated fields that include CPAs,
Estate and tax attorneys.
• Gathered market intelligence about the industry, competitors and clients which led to a successful marketing
campaign focused on acquiring pharmacists and pharmacy owners.
Building a Generation nonprofit, Redlands, CA
Board of Directors Sustainability and Finance committee
Building A Generation serves children and parents by providing personalized education, support, and connections to
community resources, enabling them to become healthy and selfsufficient families
• Reviewed financial documents to ensure the organization was meeting its budget and made
recommendations to trim costs.
• Reviewed and authorized spending, and hiring decisions for a staff of .
• Worked with a team on organizing fundraisers and acquiring funding sources via grants
and government programs.

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