Summary
Overview
Work History
Education
Skills
Certification
Timeline
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James J. Baratta

Pennington,NJ

Summary

Jim is a trusted advisor and consultative sales professional known for creating customized market strategies to meet client needs. He develops and maintains long term relationships and is an exemplary analyst committed to evaluating all options and defining value in terms of customer goals. Jim's strong track record of managing a diverse customer base and motivating dynamic teams is enhanced by his constant drive to learn and improve enabling him to solve problems, improve processes and create effective solutions.

Overview

27
27
years of professional experience
1
1
Certification

Work History

Financial Solutions Advisor

Merrill Edge
02.2022 - Current
  • Developed comprehensive financial plans to help clients achieve their short-term and long-term financial goals.
  • Achieved revenue growth targets by cross-selling bank products and services to existing clients.
  • Continuously enhanced professional knowledge by attending relevant training courses, workshops, conferences, or seminars.
  • Member of the National FSA Advisor Council

Director, Fixed Income Sales

Cantor Fitzgerald, L.P.
04.2011 - 02.2021
  • Responsible for developing and maintaining long term client relationships by leading investment teams to identify investment opportunities focused on each specific client's investment objectives to enhance their portfolio returns
  • Lead investment teams to consult and advise clients to overcome change resistance on new products like non-qm residential mortgages, jumbo prime mortgages and asset backed commercial paper programs
  • Introduce and educate clients on new asset classes that fit their investment objective and enhances their portfolio returns
  • Create and maintain business plan including pricing; research and analyze strategically relevant markets and clients to make recommendations on new business opportunities
  • Secured 20 new account relationships utilizing the firm's resources to grow production
  • Maintained average production growth of 15% per year

VP, Fixed Income Sales

Susquehanna International Group
04.2010 - 04.2011
  • Selected to be a part of the team to expand the capital markets group into the trading of new asset classes
  • Collaborated with various departments to educate clients on investment opportunities within the newly formed and growing group
  • Launched an Agency trading desk including instituting a trader and various sales positions while initiating and maintaining all necessary compliance regulations
  • Evaluated and researched fixed income holdings; utilized various research tools to stay abreast of financial trends and current affairs; and communicated trade ideas with clients
  • Enhanced current relationships, increased new client base, and aided in addition of new trading groups to the department

VP, Fixed Income Sales

FTN Financial
07.2005 - 04.2010
  • Responsible for managing and growing long term relationships with total return asset managers to supplement firm's existing depository focused client base
  • Consistently boosted production numbers, increasing annual revenue to over $2M
  • Developed intimate long-term relationships with clients through consistent interaction, building deep familiarity with key decision makers and their investment objectives
  • Leveraged my depth of knowledge in the trading of several asset classes to provide a deeper penetration into current clients and to grow the client base as well as the firm's revenue

VP, Fixed Income Sales

Goldman Sachs
06.2000 - 07.2005
  • Established an understanding of the nature and needs of clients' varying business practices and regularly provided relevant market insight, product information and sales support
  • Developed and grew new business with major institutional clients across many product areas, including investment grade and high yield corporates, mortgaged-backed securities, agencies, and municipal bonds
  • Took the initiative to leverage the firm's extensive research and analytics to expand my professional knowledge of the markets which resulted in average annual revenue growth of 25%
  • Used in-house data bases and proprietary client relationship management systems to improve my personal approach to sales and my ability to develop client focused solutions

AVP, Fixed Income Sales

Spear, Leeds & Kellogg, L.P.
07.1997 - 06.2000
  • Gained broad experience in all aspects of the fixed income trading and financial services industry workflow from sales generation to trade execution to back office trade settlement
  • Assisted the capital markets group's trading and sales departments with pre-sales preparation, execution of trades, and trade settlement processes
  • Worked with the repurchase desk to ensure proper financing of the firm's fixed income positions

Education

Bachelor of Arts - Finance

West Chester University
West Chester, PA

Skills

  • Relationship Consultant
  • Customer Relationship Management (CRM)
  • Credit Analysis
  • Market Trend Analysis
  • Customer Support
  • Investor Relations
  • Trusted Advisor
  • Growth Mindset
  • Client Focused Solutions
  • Communication
  • Self-Directed Learning
  • Resilience
  • Integrity and Trust
  • Flexibility

Certification

  • Chartered Retirement Planning Counselor®
  • FINRA Series 7
  • FINRA Series 63
  • FINRA Series 66

Timeline

Financial Solutions Advisor

Merrill Edge
02.2022 - Current

Director, Fixed Income Sales

Cantor Fitzgerald, L.P.
04.2011 - 02.2021

VP, Fixed Income Sales

Susquehanna International Group
04.2010 - 04.2011

VP, Fixed Income Sales

FTN Financial
07.2005 - 04.2010

VP, Fixed Income Sales

Goldman Sachs
06.2000 - 07.2005

AVP, Fixed Income Sales

Spear, Leeds & Kellogg, L.P.
07.1997 - 06.2000

Bachelor of Arts - Finance

West Chester University

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James J. Baratta