Jay O'Brien
Victor,NY
Summary
Driven, seasoned, and successful asset management and business development specialist with over 25 years of experience looking to transition into wealth management role. Proven success in raising assets, growing sales, client acquisition, and client retention. Trusted partner who is consultative, committed, candid, and caring. Extensive network in Rochester, and across Upstate New York, and well-versed in the capital markets and portfolio construction.
Overview
30
30
years of professional experience
Work History
Regional Director
ALLSPRING GLOBAL INVESTMENTS
06.2021 - 11.2023
- Covered all channels of advisors in Upstate NY and southwest CT; firm was formerly Wells Fargo Asset Management, and was sold to private equity owners in. November 2021.
- Responsible for positioning mutual funds, SMAs, and Allspring offerings across various DCIO platforms.
- Executed on traditional partnership through timely campaigns, consistent touches, and persistent follow-up.
- Assisted in portfolio construction, including total portfolio analysis and single strategy review.
- Provided clarity on capital markets and economy, and leveraged business building strategies to help advisors grow their practices.
- Territory was consistently top quartile in product mix, equity sales, and had 24 month trailing sales of ~$940m.
Senior Regional Consultant
PUTNAM INVESTMENTS
06.2014 - 05.2021
- Wholesaled Putnam mutual funds and separately managed accounts, as well as strategies across DCIO and VAIO platforms; territory included all channels in Western NY.
- Delivered timely wealth management ideas regarding asset protection, estate planning, and taxes; also assisted advisors with business building ideas, particularly through use of LinkedIn.
- Territory was consistently top quartile in key initiatives including sales of Equities, sales of Alternatives, product mix, and new advisor growth; territory raised ~$2.0B during tenure.
Vice President, Client Advisor
J.P. MORGAN ASSET MANAGEMENT
06.2010 - 05.2014
- Covered financial advisors in B/D Channel in Upstate NY, Western PA, Northeast PA and WV; product responsibilities included mutual funds, SMAs, 529 plans, VAIO, and DCIO.
- Assisted advisors in leveraging all of the resources and thought leadership that firm had to offer, including capital markets insights, portfolio construction, and practice management strategies.
- Consistently ranked in top third of channel based on volume, percent to sales goal, and firm metrics; YOY growth in last 3 years of 66%, 45%, 43% respectively, and raised $1.1B during tenure.
Regional Vice President
VAN KAMPEN INVESTMENTS
11.2005 - 05.2010
- Managed all-channel territory for Van Kampen Investments in Upstate New York, and November 2005 - May 2010 marked second stint with firm; distribution responsibilities included mutual funds, unit investment trusts, SMAs, closed end funds, 529 plans, as well as sub-advised products in VAIO and DCIO platforms.
- Consistently ranked in top quintile of firm wholesalers based on percent to sales goal and volume; raised $2.1B in total territory assets since initial hire.
Vice President, Regional Representative
EATON VANCE DISTRIBUTORS
09.2004 - 10.2005
- Wholesaled Eaton Vance products in B/D and Regional Broker Dealer Channel in Upstate New York, Western Massachusetts, and Vermont; product responsibilities included mutual funds, SMAs, closed end funds, and exchange funds.
- Increased territory sales by 23% in thirteen months, from $202M to $248M (ex closed end IPOs).
Regional Vice President
VAN KAMPEN INVESTMENTS
03.2000 - 09.2004
- Managed all-channel territory for Van Kampen Investments in Upstate New York, and March 2000 - September 2004 marked initial opportunity at firm; distribution responsibilities included mutual funds, unit investment trusts, SMAs, closed end funds, 529 plans, as well as sub-advised products in VAIO and DCIO platforms.
- Consistently ranked in top quintile of firm wholesalers based on percent to sales goal and volume; raised $2.1B in total territory assets since initial hire.
Regional Sales Representative/Junior Marketing Associate
OPPENHEIMERFUNDS, INC.
09.1994 - 02.2000
- Promoted Rochester Division strategies as B/D Channel representative, and focused on increasing sales and retaining assets.
- During tenure, the Rochester Funds contributed significantly to the growth in B/D Channel at OppenheimerFunds, and typically achieved a 60% market share of all NY Municipal Fund sales.
Associate Head Coach, Men's Ice Hockey
UNIVERSITY OF ROCHESTER
09.1993 - 09.1998
- Coached defense and goalies; team won four league titles and three league tournament championships during tenure; scouted and recruited prospective student/athletes, managed team budget, and organized team fund-raising activities.
- Facilitated productive relationships between coaches, players, administrators, and parents through clear communication and active engagement in meetings.
Education
The Albany Academy
Albany, NYMajor: - English
University of Rochester
Rochester, NY06.1993
Skills
- Business Development
- Client Relationships
- Public Speaking
- Team Leadership
- Sales Strategies
- Strategic Planning
Licenses And Designations
- Series 6
- Series 7
- Series 63
- Series 65
Timeline
Regional Director
ALLSPRING GLOBAL INVESTMENTS
06.2021 - 11.2023
Senior Regional Consultant
PUTNAM INVESTMENTS
06.2014 - 05.2021
Vice President, Client Advisor
J.P. MORGAN ASSET MANAGEMENT
06.2010 - 05.2014
Regional Vice President
VAN KAMPEN INVESTMENTS
11.2005 - 05.2010
Vice President, Regional Representative
EATON VANCE DISTRIBUTORS
09.2004 - 10.2005
Regional Vice President
VAN KAMPEN INVESTMENTS
03.2000 - 09.2004
Regional Sales Representative/Junior Marketing Associate
OPPENHEIMERFUNDS, INC.
09.1994 - 02.2000
Associate Head Coach, Men's Ice Hockey
UNIVERSITY OF ROCHESTER
09.1993 - 09.1998
The Albany Academy
Major: - English
University of Rochester
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