Gabriela Gonzalez
San Diego
Summary
Over 30 years experience in financial services industry with a proven track record as Top Sales Producer. Highly Effective sales skills with ability to procure, develop and maintain valuable client relationships. Expert in identifying market trends and coaching to maximize client target objectives. Consistently exceed Annual Sales Goals FY2017 Brought $680mm NNA / FY2018 $620mm YTD NASD Series 63 and 7
Overview
1
1
Certification
33
33
years of professional experience
Work History
Associate Financial Planner
Pathlight Wealth Management
San Diego, CA
11.2022 - Current
- Partner with the lead advisor to support client relationships, financial-planning discussions, business development, and daily operations within an independent Registered Investment Adviser firm.
- Assist clients and prospects with account establishment, asset transfers, distributions, retirement needs, and ongoing service requests.
- Coordinate with the firm’s custodian to open and maintain accounts, process transactions, and resolve client-service matters.
- Support financial-planning conversations involving retirement, investments, insurance, estate-planning, and tax-planning considerations.
- Develop and maintain professional relationships with clients and prospects through consistent communication and follow-up.
- Developed and implemented a standardized CRM prospect workflow to improve organization, accountability, and internal communication.
- Assisted with the advisor’s transition from a broker-dealer platform to an independent RIA model.
- Support compliance responsibilities by maintaining client records, documentation, and operational procedures.
Vice President Strategic Relationship Management
TD Ameritrade Institutional
San Diego, CA
02.2008 - 2019
- Manage 90+ registered investment advisory firms in West Coast Region.
- Utilize business acumen to influence advisors on practice management, efficiencies & succession planning.
- Leverage consultative skills to help advisors with business development and AUM growth.
- Shortened sales cycle whilst increasing funding ratios.
- Enhance client experience by building professional and purposeful relationships.
Sr. Sales Specialist
TD Ameritrade Institutional
San Diego, CA
11.2009 - 10.2016
- Cold call registered investment advisors and break-away brokers with assets under management over $75mm
- Assisted in establishing leads resulting in NNA - $468mm FY2015/$700+mm FY2016
- Integral role in the sales/due diligence process, coordinated advisor visits for sales teams in various regions.
- Profitability analysis reports to make pricing decisions on prospective clients. Assist in relationship management of Core Sales Registered Investment Advisory firms.
Sr. Relationship Manager
TD Ameritrade Institutional
San Diego, CA
02.2008 - 11.2009
- Worked with approximately 200 advisors on a core service team. Cross-trained in the following departments: Transfers, Cash Management, New Accounts, Technology and Relationship Manager. Ability to retain client business, and effectively build long-lasting, working relationships with the largest of advisory firms.
AVP of Secondary Marketing
Signature Funding
San Diego, CA
01.2001 - 01.2007
- Knowledge of Mortgage Trading and Hedging, Securitization structures, Derivatives, Loan Origination
- Life Cycles, Fallout Analytics, Repurchases, and Delinquencies, and Market Trends and Analysis.
- Manage banking warehouse lines of credit and DDA accounts & month end production and profitability reports.
- Experience in securitizing loans into pools and managing the monthly pool settlements with investors.
- Manage cost efficiency of whole loan settlement and asset management functions, Maintain Secondary Marketing quarterly financials and audits. Train & Monitor Secondary Marketing & Sales.
Secondary Marketing Manager
Signature Funding
San Diego, CA
01.2001 - 01.2007
- Oversee the daily pricing process, loan sales and deliveries to investors. Reconcile warehouse lines of credit, purchase clearing and interim servicing. Responsible for all mandatory and best effort pricing, rate locks as well as pipeline and lock reports. Price and publish daily 11pp. best effort/mandatory rate sheet, Review investor suspense and assist in obtaining conditions to clear for purchase.
Asst. Controller
Western Capital Financial
San Diego, CA
01.1994 - 01.2001
- Responsible for payroll including Commission Accounting, AR/AP, Sales Reporting, performance reviews, new hire paperwork, and benefits administration.
Life Insurance Underwriter
Western Capital Financial
San Diego, CA
01.1994 - 01.2001
- Performed underwriting for estate planning, supplemental retirement plans, variable life, fixed life, variable universal life, term life and long term care cases. Worked with financial advisors and clientele to structure appropriate retirement and investment planning. Liaison between surveyors and doctors for risk assessment, negotiate risk terms with insurance and advisors.
Operations Manager
Western Capital Financial
San Diego, CA
01.1994 - 01.2001
- Responsible processing, funding and delivery of investment contracts as primary contact for brokerage accounts.
Executive Assistant to Senior Vice President
Western Capital Financial
San Diego, CA
01.1994 - 01.2001
- Assisted the two sales executives covering over 500 clients with investment and retirement planning.
Education
High School Diploma -
San Diego City College
San Diego, CA1995
Bachelor of Science - Psychology
Grand Canyon University
Phoenix, AZ10-2026
Certification
CFP®
Series 7
Series 63
Languages
Spanish
Native or Bilingual
Timeline
Associate Financial Planner
Pathlight Wealth Management
11.2022 - Current
Sr. Sales Specialist
TD Ameritrade Institutional
11.2009 - 10.2016
Vice President Strategic Relationship Management
TD Ameritrade Institutional
02.2008 - 2019
Sr. Relationship Manager
TD Ameritrade Institutional
02.2008 - 11.2009
AVP of Secondary Marketing
Signature Funding
01.2001 - 01.2007
Secondary Marketing Manager
Signature Funding
01.2001 - 01.2007
Asst. Controller
Western Capital Financial
01.1994 - 01.2001
Life Insurance Underwriter
Western Capital Financial
01.1994 - 01.2001
Operations Manager
Western Capital Financial
01.1994 - 01.2001
Executive Assistant to Senior Vice President
Western Capital Financial
01.1994 - 01.2001
High School Diploma -
San Diego City College
Bachelor of Science - Psychology
Grand Canyon University