Registered Representative Resume Sample

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					Jesse Kendall
                                                                       123 Elm Street ▪ Gaithersburg, MD 20878
                                                 Home: 301-555-5555 ▪ Cell: 301-444-4444 ▪
Top-performing and results-driven professional with a 20+ year career in the financial services industry, offering
expertise in retirement and investment planning. Entrepreneurial spirit with demonstrated success in building and
maintaining client relationships, surpassing corporate and personal sales goals and meeting the needs of a diverse
client base. Known for delivering impeccable service and follow-through. Key skills include:

▪ Retirement/Investment Planning                   ▪ Regulatory Compliance               ▪ Employee Benefits
▪ Pension Selection: 401(k), 403(b)                ▪ Relationship Management             ▪ Customer Relations
▪ Insurance: Life, Disability, Long-Term Care      ▪ Public Speaking/Presentations       ▪ Interpersonal Skills

Financial Advisor / Registered Representative
ABC Financial Services, LLC – Gaithersburg, MD (20xx to Present)
Sell financial service products and programs, such as retirement investment plans, mutual funds, life insurance
policies, annuities, and individual securities. Assess individuals’ needs and prepare quotes. Respond to inquiries
about investment objectives and performance, ensuring client understanding and satisfaction. Review clients’
portfolios and policies, assessing for changes in objectives and risk tolerance. Prospect for new clients.
Communicate with wholesalers for ideas and plans of action regarding product information, changes, and industry
commentaries. Supervise administrative assistants.

▪ Built client base from scratch through direct mailings, informational seminars, and effective prospecting.
▪ Developed expertise in employer benefit plans, including pension selection for 401(k) and 403(b) programs, life
  insurance and disability counseling, and long-term care insurance policies.
▪ Awarded numerous expense-paid conventions and trips for meeting and exceeding production goals.

Registered Representative
BCD Mutual Financial Services – Gaithersburg, MD (20xx to 20xx)
Generated leads by cold calling existing clients and outside prospects to develop and maintain strong business
relationships. Profiled each client thoroughly to assess client needs to sell investment and deposit products and
ensure product suitability. Answered clients’ financial questions/concerns related to annuities, mutual funds, and
life insurance. Built new customer relationships through sales initiatives and telemarketing. Cross-sold and
provided referrals to other areas of the bank. Processed account changes and researched and resolved account-
related problems. Responded to customers’ inquiries and assisted with account balancing.

      Achieved compliance by auditing branch files and performing cash counts.
      Retained all clients during brokerage transitions.
      Established strategic partnerships with accountants and attorneys to ensure that the full spectrum of clients’
       financial needs were met.

Bachelor of Science in Finance, XYZ COLLEGE – Gaithersburg, MD
Certified Senior Advisor (CSA)
Member, National Association of Life Underwriters (NALU)
Member, Financial Planning Association (FPA)
Creating a Compelling Cover Letter
A powerfully written cover letter is necessary to land most interviews and ensure job search success. When an advertised
position creates a pile of 100+ resumes, it becomes the responsibility of the hiring personnel to shortlist the applications.
Resumes without cover letters are usually the first to go, followed by the ones with poorly written cover letters. Avoid this
fate by following these effective strategies:

Address your cover letter appropriately:
Be sure that you get the name of the hiring manager before sending your resume, and address the letter to that individual.
The proper greeting will be either “Dear Mr. (Smith),” or “Dear Ms. (Smith).” Avoid using Miss or Mrs., and do not address
your letter to “Dear Sirs,” as it is considered inappropriate. If you are unsure of your contact’s gender, address them by
their first and last name, as in “Dear Pat Smith,” to avoid an embarrassing mistake. If you don’t know the name of the
hiring manager, simply use the greeting “Dear Hiring Manager,”– it’s clear, to the point, and gender neutral.

Get to the point in your opening paragraph:
One of the most common interviewing questions employers ask is “Why should I hire you among other candidates?”
Provide an answer to that question right off the bat in your opening paragraph. This is a very important section because it
is the first thing the employer will read. It must be powerful and make an immediate impact. Be sure sell yourself and your
unique abilities. Do not use a generic opening paragraph that can apply to any Tom, Dick or Harry.
Every line should sell you, so use aggressive language here and throughout the rest of your cover letter. For example,
instead of writing “My background is in finance management, making me well-suited for your advertised Corporate
Finance Director position.” you can write “A background in finance management and a proven record of developing
effective strategies that drive revenue, growth and shareholder value make me a strong candidate for your advertised
Corporate Finance Director position.”

Show your interest and sell your accomplishments in the body of the letter:
In this section, you need to show your interest in the job and the company. Research is a key ingredient to a successful
job search. The more you are able to demonstrate your interest and knowledge about a company, the better your chances
are to secure an interview. Get to know the company’s mission and new corporate initiatives, and tell them how you can
help them meet their objectives or resolve their problems. Praise the company for public recognitions or recent
accomplishments. The employer will surely take notice of your active interest.
Use “I” and “my” sparingly. Try not to use these words more than six times in your cover letter. You need to focus on what
you will bring to the company and how you will help them improve their profitability. Too much use of the word “I” will also
make your letter look elementary and poorly written.
For executive-level candidates and professionals with substantial achievements, a bullet point format is often the most
effective and efficient way to highlight accomplishments. If you fall into this category, be sure to keep the bullet point
statements unique and fresh. Do not copy and paste the exact same phrases from the resume as it will make you look
lazy. All sentences and achievements transferred from the resume should be rephrased.

Close your letter with a strong paragraph:
In the closing paragraph, you need to address several issues. At the very least, you need to ask for the interview and
provide contact information. This is also the ideal place to mention your salary requirements (if the employer insists on it),
or your desire to relocate.
To demonstrate your drive and interest, mention that you will call within a week to follow up. This is a great way to ensure
the resume was successfully received, and it creates an opportunity to establish a dialog. However, do not mention this in
your cover letter if you do not intend to follow up.

In summation, an aggressive and dynamic cover letter will help you stand out among the competition. Remember that the
goal is to market yourself – not to compose a dull biography.

Description: Enjoy this expertly developed sample registered representative resume with complimentary cover letter strategies included. Unlike most resume samples you will find, this one is a completely editable Word document, which means you can revise this resume as needed to suit your needs while keeping the stylish format in tact.
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