J AMES (J IM ) S ERAMBA ,

T: 336.549.7014 |

CFP, CIMA Kernersville, NC 27284 Jseramba64@yahoo.com | www.linkedin.com/in/jamesseramba

FINANCIAL PLANNER / FINANCIAL ADVISOR Asset Origination | Portfolio Optimization & Diversification | Investment Management Adept at long-term financial planning, asset management and capital preservation for high-net worth individuals. Comprehensive understanding of the capital markets, security analysis, and value investing. Effective leader.
GREY OAK WEALTH MANAGEMENT, Greensboro, NC MANAGING PARTNER / FINANCIAL ADVISOR / OWNER 2006 - present

Established an RIA (Registered Investment Advisor) with over $62M in assets under management for 75 clients. Achieved 10% growth in assets and revenues for five straight years despite challenging markets. Designed customized financial plans that addressed such client needs as retirement income planning and estate planning. Formulated and implemented, on a discretionary basis, complex investment strategies to include allocation modeling, security selection, alternative investment commitments and risk hedging. Prepared over 38 financial plans with strategies ranging from wealth preservation to aggressive growth. Organized a successful management buyout of a division of Alcoa on behalf of executive clients: identified lenders and private equity groups; assisted in defining capital structure; and coordinated due diligence all within six months. Solved a challenging management succession problem for a family business: obtained market valuation, helped raise capital to recapitalize the business; and implemented a multi-generational estate plan that facilitated transition. Provided guidance to business owners in structuring right-sized benefits plans. Offered advice on and defined succession planning for clients; negotiated bank loans and identified capital to fund new interests. Led successful exit with the sale of the Company to Cornerstone Financial Partners in June 2013. UBS, Greensboro, NC FINANCIAL ADVISOR Grew $32M in client assets to $75M, covering 125 diverse clients. Developed hiring and training plans for new financial advisors for three offices, resulting in 50% reduction in attrition over four years and an average of 35% improvement in advisor productivity. Managed client investments across multiple asset classes including equities, bonds, real estate, and commodities. Utilized sophisticated modeling techniques for asset allocation and portfolio customization. Consistently achieved PaceSetter status which recognizes the top 10% of advisors in the Company. MERRILL LYNCH, Greensboro, NC FINANCIAL CONSULTANT Completed the firms financial advisory training program in 18 months instead of the typical 24. Aggressively grew a book of business to $32M in assets from zero from cold calls, professional networking, and referrals. Grew fee income substantially. GUARDIAN INDUSTRIES, Carlton, MI INDUSTRIAL ENGINEER Managed OSHA, EPA, and environmental compliance function for a private glass manufacturer. UNITED STATES ARMY, Schofield Barracks, HI OFFICER, MAJOR 1986-1993 1993-1995 1995-1999 1999-2006

Served as a platoon leader, company executive officer, and operations officer. Commanded a tank company and maintenance unit overseeing 248 troops. Earned Top Secret Clearance; honorable discharge. Fought in Operation Desert Storm with the 1st Infantry Division as an assistant operations officer.

EDUCATION AND LICENSURE Master of Business Administration, WAKE FOREST UNIVERSITY, Winston-Salem, NC, 1995? Coursework emphasized general management, finance, and security analysis. Bachelor of Science, Mechanical Engineering, UNITED STATES MILITARY ACADEMY, West Point, NY, 1986 Minor: Economics. Honors & Distinction: Graduated in the top 10% of graduating class. Series 3, 7, 24, 31, 63, 65 and Insurance licensed