Daniel Filipe

• Delivered over 100 financial plan summaries per year by cultivating relationships and fostering an environment of referrals, leading to approximately 10-12 client meetings a week.
• Led and mentored the retail branch team, leading to increased referral opportunities and enabled advisors with challenging client investment conversations.
• Transferred assets from the competition and invested funds in accordance with individual investment objectives and risk tolerance.
• Enabled achievement of sales goals 8 months ahead of schedule through persistent client engagement and market outreach.
• Consistently drove $10M-$14M in annual gross sales over 5 years.
• Maintained strict adherence to all regulatory requirements ensuring compliance to KYC and KYP requirements.
• Consistently achieved perfect scores on customer surveys, leading to more client referrals and enhanced customer experiences.

• Ensured investment suitability through KYC requirements and relationship development, providing advice on current portfolios.
• Delivered just in time advice, navigating clients through changing investment climates engendering client confidence and commitment to long term goals.
• Increased recurring revenue by focusing on trailer generating investments including mutual funds and fee-based account platforms.
• Tailored comprehensive investment solutions for higher net worth individuals, placing emphasis on customer service and relationship management.
• Was a founding member of the National Branch, converting the branch from a cost center into a profitable line of business, with over $500M in asset under management.

• Ensure high level of client service by responding to client inquiries in a timely and accurate manner.
• Designed, implemented and maintained tracking systems for client contact and advisor activity.
• Worked closely with the Branch Manager and regional managers to ensure smooth day to day operations of the branch.