John L.

"Jay" Simpson
3316 Rue Bienville Mobile, Al 36693
251-751-7510 jay.simpson@comcast.net

My earlier experiences in college and professional athletics have allowed me to

bring a disciplined and competitive approach to my challenges. I have built a su
ccessful financial services practice with these values. Integrity and hard work
are two more values that compliment the discipline and competitiveness. My mana
gement skills and mentor abilities have allowed me to develop numerous successfu
l advisors. The primary markets of my current profession are physicians, corpor
ations and their management teams, and professional athletes.
I have also been a partner in two construction companies and one environmental c
lean-up company for the past 12 years
I am looking for another challenge and the opportunity to use my experience, ski
lls, and accomplishments to complement a professional organization. My contacts
are very extensive in many industries. Thanks for the consideration and I look
forward to more discussions.
Sincerely,
Jay Simpson
John L. "Jay" Simpson
3316 Rue Bienville Mobile, Al 36693
251-751-7510 jay.simpson@comcast.net
Senior Sales and Sales Management Executive
Senior entrepreneurial executive with more than 13 years of experience managing
sales,
marketing, operations, and personnel at local, regional, and corporate levels
for both start-up and established financial services companies. Integrity, hard
work, discipline, and competitiveness are the values and traits that have led t
o my success.
Skills and Areas of Expertise
* Prospecting
* Closing
* Relationship management
* Creating solutions
* Motivating manager
Education
Bachelor's degree from University of South Alabama in Corporate Finance
Numerous courses and training classes in sales and management
Continuing education yearly for my licenses (6, 65, 7, 63, 3, 9, 10, insurance)
Professional experiences and accomplishments
2010- current JLS & Associates - President
JLS was formed in 2010 as a continuation of my former independent company from 1
999-2008. Risk management, investments, medical practice consulting, packaged
pharmaceutical dispensing and revenue audits are our main business focus. (jlsad
visors.com)
2008-2010 Senior Wealth Manager - Partner
In the summer of 2008 I was approached by Northwestern Mutual (#1 ranked Insuran
ce firm in the country by Forbes Magazine) to open up an office in Mobile, Al.
I was excited at the opportunity an accepted the challenge. This was a complete
ly new office. My responsibilities were to find office space, design and decora
te, hire staff, and negotiate leases and contracts. Once the doors opened my re
sponsibilities were to maintain my personal production while recruiting developi
ng and mentoring other advisors in the office. I was in the top 20 in the compa
ny in personal production in insurance, in the top 5 for investment production,
and built the office to 6 advisors and 3 assistants.

1999-2008 - Independent Wealth Manager

In 1999 one of the senior partners in the firm left and started an independent f
inancial services firm. I was offered a position as partner and jumped at the o
pportunity. Over the next several years I was responsible for different roles i
n the partnership.
We were consistently in the top 2% of all office within our clearing firm Raymon
d James Financial (Top 5 independent brokerage firm in the US). We managed 100
million+ in assets with over 1000 clients. My primary responsibilities were to
identify prospects, develop financial plans, and present those plans. We mainta
ined a high activity model (Made 50 calls a day and saw 15 - 20 prospects a week
). In order to accomplish these lofty standards I had to be very disciplined, o
rganized, and persistent. In 2001 I assisted in facilitating the partnership be
tween Raymond James and Pan- American Financial. This partnership brought toget
her about 100 advisors along the Gulf Coast. Our office in Mobile was the recru
iting and development office for the partnership; during my time there I success
fully recruited and maintained my role of identifying prospects and closing the
proposals.
In 2003 I took the role of Branch Manager. My role drastically changed. I was
now responsible for the management of all office essentials. In my role as Sup
ervisor I was responsible for reviewing all trades and proposals, recruiting, ma
naging the finances and maintaining personal production. The office consistentl
y exceeded goals by 50% + while maintaining a strict budget. I was consistently
a top percentile producer in the firm.
1997-1999 - Financial Advisor - Prudential Securities, Inc.
In the spring of 1997 I was offered a position at Prudential Securities as a fin
ancial advisor. Within 2 months I successfully passed the series 7, 63, 65 exam
s. I quickly began to grow my practice, and my production was 160% of goal the
first two years. During this time I was appointed Managed Money coordinator. M
y responsibilities were to identify prospects, develop asset allocations, and as
sist in the presentation of those solutions to high net worth (> 1 million in as
sets) individuals and entities. I began to gravitate towards the medical profes
sions at this time.
1997 Partner-Commodities Advisor
One day while prospect a company in my office building I met the owner of a comm
odities trading firm. This new relationship led to a new position for me at thi
s firm. Over the next year we successfully built and developed DTI, Inc. (Whi
ch is still in business today). We traded commodities for clients all over the
country while training them to trade for themselves. This experience afforded m
e a tremendous amount of experience while building knowledge in different parts
of the investment industry.
1996-1997 Registered Representative - Prudential Insurance
My financial services career began in the fall of 1996 with Prudential Insurance
. I n a very short time I became the leader of the Mobile, AL office. My clien
ts were mid-to large sized companies and their management teams. I assisted in
developing and managing their retirement plans while creating individual soluti
ons for the employees.
1992-1996 Professional Baseball - Player- Business Owner
I began my professional working career in 1992 as a professional baseball playe
r with the California Angels where I managed to successfully move up in the org
anization I sustained an injury in 1996 that led to the end my baseball career
. While I was playing, I started a company with partners called PALS. This com
pany was responsible for prospecting and selling educational solution to schools
systems. I was responsible for prospecting and closing the deals. When my bas
eball career ended I divested my shares and began my path in the financial servi
ces industry. PALS is currently still in operation.
Hobbies and Interest
I enjoy spending time with my family, participating in and coaching sports, and
the outdoors. My family participates in numerous charities and events. I thri
ve on the challenges life throws at me.
References available upon request