Mauricio Rotondaro

• Prospect wealthy individuals, and also clients that I had managed in Merrill Lynch and Morgan Stanley, and diversify their portfolios in different strategies such as Structured Products, Fixed Income, stocks, with different financial intermediaries through Capital Union Bank (Leonteq, Swissquote Bank, EFG International Bank), and Charles Schwab for stocks traders, so the clients has more diversification and no be tied to a single Financial Institution.

• Our commitment is to and focus on our clients’ needs, professionally and in a solution oriented manner. Our number one focus in clients diversification is Structured Products. The popularity of Structured Products has grown significantly in recent years as investors seek innovative ways to achieve their financial goals.

• International Financial Advisor for a Wealth Management team in the Morgan Stanley Brickell branch division that managed more than 800mm in client´s assets.

• My duties included traveling to Venezuela and meet with existing client´s, prospect wealthy clients, open accounts, diversify their portfolios with different strategies depending on clients objectives.

• Traveled to Haiti, Mexico, Panama, to meet with existing clients that their accounts were opened by our Senior team leader, and reviewed their portfolios and increase their account portfolios.

• Junior Partner of a Wealth Management team in the Brickell International Branch division, that managed more tan 500mm in clients assets.

• My duties were to be the day to day contact with clients, take market orders, review accounts, while the Seniors Advisors traveled to meet with clients.

• Managed the day traders clients and provided them with recomendations.

• Reviewed clients portfolios strategies with the Senior Advisors and gave recomendations before them meetings with clients.

The Small Account Unit focused in managing client´s accounts under the branch minimum amounts. Our focus was to meet with existing clients and increase the accounts value, invest in diversified strategies depending on clients needs, and to close accounts that couldn´t increase the minimum requirements. Under this group, we managed more than 100mm in clients assets.

Our primary focus was to increase accounts that were not properly served by Financial Advisors because the accounts were not producing and/or under the minimum requierements.

Assisted one Financial Advisor and one Private Banker in the day to day functions of managing a book of business.

Assisted clients daily with different questions or problems that would come up in relation to their portfolios and account maintenance.

Generated weekly/monthly reports organizing different materials for the team. Great exposure on how to read and look charts, statistics, and different types of reports.

Managed the documentation process for account opening.