C ARLOS A. M C C AIN , QKA
Tampa, FL 33647 C: 813.727.3250 HO: 813.907.5560 email@example.com
D EFI NED C ONTRI BUTION & Q U ALI FIED P L AN C ONSULTANT
Over 16 years of success in defining business strategy, partnering with financial advisors, building
distribution channels, and negotiating multimillion-dollar defined contribution and qualified plan sales.
Top-ranked producer and 401(k) Plan wholesaler with 13 years of success growing business for CitiGroup/ING.
Accomplished in optimizing distribution channels, differentiating product offerings and creating solutions that meet
client needs. Hands-on leader skilled in developing talent, defining team dynamic and tailoring leadership style to
accommodate each individual. Practiced in sharing knowledge and expertise with financial advisors and
consultants to champion new client acquisition and business growth.
Drove multimillion-dollar sales growth for new retirement business in small to large corporate and union
plan markets from ground up to $150M.
Built network of referral relationships with six CPA firms, three payroll companies, seven Third Party
Administrators (TPAs), 401(k) vendors, and one health and welfare benefit consulting firm all in Florida.
Developed and managed distribution channel partners including Smith Barney, Morgan Stanley,
CitiBank Investments Services, Citi Private Banking, UBS, Wachovia Securities, Wells Fargo, Primerica
Financial, RBC Bank, and JHS Financial.
Established partnerships with independent, bank, and brokerage firm Financial Advisors (FAs)
throughout Georgia and Florida.
Conducted sales training and Fiduciary Liability Exposure seminars for FAs and HR professionals.
Delivered sales presentations, mutual fund analysis, benchmark and fund selection reports for FAs.
Supported both advisor client and prospect corporate retirement plan needs as member of Smith
Barney’s Southeast Virtual Resource Team.
Areas of Expertise
Benefit Plan Design, Consulting & Administration ERISA, PPA & DOL Regulations & Compliance
Financial Advisor Training & Development 404c Fiduciary Support & Knowledge
Corporate Negotiations & Sales 457, 403b, 401(k) & Defined Benefit Plans
Direct B2B Corporate Client Sales Collectively Bargained, Taft-Hartley & Union Plans
Territory Launch & Turnaround Management Wire-House & Bank Channel Development
Distribution Channel Optimization & Management Executive-level Presentations & Cross-selling
E8 CAPITAL, LLC – Tampa, FL JUNE 2011 – PRESENT
Private equity fund focused on natural resources, renewable energy, and infrastructure projects in India.
Recruited by fund’s founding partner to raise investment capital by leveraging network of Financial Consultant and
Registered Investment Advisor (RIA) relationships.
Played key role in raising $110M of $150M, five-year investment capital goal in first year through
accredited investor clients and international financing.
MORGAN STANLEY SMITH BARNEY – Orlando, FL NOVEMBER 2010 – MAY 2011
One of industry’s premier global wealth management firms providing brokerage, investment banking, and asset
management to corporations, governments, and individuals.
FINANCIAL ADVISOR / RETIREMENT PLAN SPECIALIST – ROSENBERG WEALTH MANAGEMENT TEAM
Recruited as subject matter expert (SME) to build 401(k) business for $450M investment group.
Acquired seven new retirement plans in just six months, including new $8M deal, by prospecting for
business and developing, cross-selling, and implementing 401(k) solutions for group’s existing clients.
Ca rl os A. M cC ai n , Q K A P ag e 2 o f 2
CITISTREET / ING – Somerset, NJ; New York, NY; Tampa, FL SEPTEMBER 1997 – NOVEMBER 2010
Leading provider of retirement and insurance products and services; ING acquired CitiStreet in 2008.
Promoted and repeatedly commended for leadership and sales achievements throughout 14-year tenure.
REGIONAL VICE PRESIDENT / RETIREMENT PLAN SALES DIRECTOR May 2003 – November 2010
Directed regional efforts to develop new business and increase retirement plan sales throughout territory covering
entire state of Florida and southern half of Georgia.
Turned around company’s lowest ranked territory (23/23) to generate 120% increase in closed sales
in first six months by revitalizing sales support team, building FA relationships, leveraging plan design
expertise, and introducing new strategy to capture business with attorney, CPA, and healthcare practices.
Ranked as one of Top 5 sales producers for four consecutive years (2004-2008), despite most
condensed territory size, by building deep relationships with FAs.
Achieved and maintained 75% repeat business rate by establishing loyal relationships with Florida FAs
from Smith Barney, Morgan Stanley, CitiBank, UBS, Primerica, RBC Bank, and Wells Fargo.
Closed average of $60M in new annual 401(k) assets from Smith Barney channel exclusively in first
seven years (1997-2003).
Attained 100% of net new assets sales goal for four consecutive years (2003-2007).
Delivered average of 24 new client proposals monthly with 70% close ratio for all in-person presentations.
JUNIOR RETIREMENT SALES DIRECTOR – CITIBANK CHANNEL August 2002 – April 2003
Drove retirement plan sales by partnering with retail banking partners to facilitate value add product training
seminars. Conducted 401(k) sales presentations for two Retirement Sales Directors in Smith Barney channel.
Closed first 401(k) plan for CitiBank cross-selling initiative in New York / New Jersey territories by
educating CitiBank FAs on products and services via seminars and delivering direct client sales presentations.
Championed cross-selling initiative by forging solid business relationships with CitiBank Investment
Advisors and CitiBank Business Development Officers in New York and Miami.
401(k) RETIREMENT SPECIALIST / INSIDE WHOLESALER September 1997 – July 2002
Led team of eight 401(k) Sales Coordinators to oversee enrollment process for Smith Barney, Travelers, USI, and
Primerica 401(k) plan clients. Provided inside wholesaler sales production and support for multiple RSDs in
territories across country for Smith Barney and Primerica distribution channels. Cultivated and responded to RFPs
for potential 401(k) clients.
Accelerated plan implementation process by 25% from 12 to 9 weeks by streamlining entire on-site
401(k) enrollment process, encompassing enrollment material processing and client communications.
Closed more than $8M in new sales annually by providing expert opinion on Financial Consultants’ client
sales conference calls.
Corporate Retirement Plan Sales Financial Advisor (RIA) – Harbor Corporate Retirement Consultants
401(k) Specialist, SunTrust Bank Channel – Price Waterhouse / Coopers and Lybrand LLP
EDUCATION & LICENSURE
UNIVERSITY OF RICHMOND – Bachelor of Arts in Dual Majors and Minors
FINRA Series 6 and 63 Series 7, Expected July 2012 Series 66, Expected August 2012
State Life, Health, and Variable Annuity License
QKA with American Society of Pension Plan Administrators (ASPPA) C(K)P, Expected June 2013
Microsoft Office (Word, Excel, PowerPoint, Access) TagReader Software Media Salesforce.com
Heavenly Arms Estates Boy Scouts of America Tampa YMCA B.O.D. Pop Warner Football & Cheer V.P.