1. Ronald J. Benevento
Franklin Square, NY 11010
Ronaldjbenevento@gmail.com(516) 850-8814
FINANCIAL ADVISOR > DIRECTOR OF OPERATIONS  TRADER COMPLIANCE SA RISK
MANAGEMENT STRATEGIC PLANNER  HEAD OF COMMISSIONS AND FINANCIALS
Accomplished, Financial Advisor / Director of Operations Managed personal AUM of 17 million as well
as servicing firm's 500 million AUM. Experienced operating in an environment that stresses both individual
accountability and team-based performance. Encompass years of success in delivering banking/investment
solutions, driving results, in addition to developing targeted business plans that continuously exceed required
targets/goals. Incorporate highly-evolved sales abilities as well as client contact/ relationship management
skills. Ensured that all of the employees and officers in the firm comply with SEC and FINRA rules.
APPLIED APTITUDES & EXPERTISE INCLUDES:
Revenue Generation•Leadership/Management/Mentoring/Coaching•Business
Development •Prospecting/Marketing/Cross-Selling•Customer Service
Interviewing/Hiring/Training•Product/Client Presentations & Seminars
PPS Advisors/American Portfolios – Holbrook, NY 2/16/201003/31/2015
Registered Investment Advisor / Director of Operations
• Lead the transition of 250 million in assets under management from AXA Advisors to its own RIA. Was
the primary contact for over 1000 clients while managing three offices of representatives. Managed a
staff while responsible for all account billing, commission payouts, 60 point SEC compliance checklist,
payroll, quarterly company financials, RIA IARD system in addition to the day to day operation of the
Firm.
• Analyzed potential opportunities to enhance customer satisfaction, increase assets under management
as well as generate additional revenue.
• Facilitate accounts in determining required levels of liquidity and leveraging their liabilities/debt to obtain
access to additional funds via structured and security based lending solutions.
• Assist with transition of on boarding advisors as well as familiarized them with company rules and
regulations.
ACHIEVEMENTS
Helped increase as well as manage RIA AUM from 250 to 500 million in 5 years.
In heading own revenue projects personally raised over 50 million in AUM for the RIA.
Accredited for ensuring compliance/audit procedure adherence within Branch.
Improved customer satisfaction implementing client contact system.
PPS Advisors/AXA Advisors – Melville, NY 01/05/1997 02/16/2010
Operations Manager
• Client relationship manager for over 500 clients
• Headed staff of 4 while servicing 10 representatives including the top 5 producer in the country.
• Ensured appropriate documentation was collated for new accounts and service requests.
• Maintained Management Systems with up to Date Client Information.
• Identified service opportunities for clients.,
ACHIEVEMENTS
Progressed from Support Specialist Operations Manager
Succeeded in continually meeting and/or surpassing branch targets/goals.
EDUCATIONPROFESSIONAL LICENSESCERTIFICATIONS
FINRA Series 6 -7-63-65
Attended Nassau Community College and SUNY Brockport
SOFTWARETECHNOLOGY PROFICIENCIES
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