Summary
Skills
Education
Licenses
Work History
OperationsManager
Stephanie Szabo, CFP

Stephanie Szabo, CFP

Financial Advisor and Certified Financial Planner
Decatur TX,TX

Summary

25+ years' experience as a Trusted Financial Advisor with a history of success for engaging consultative relationships, articulating strategic investment and financial solutions for HNW and UHNW investors

Skills

  • Personable and articulate communication and presentation skills, build credibility quickly
  • Adaptable, self starter, thrive in dynamic environment
  • Detail oriented, analytical, critical thinker
  • Leadership skill for positive problem solving with an aptitude for handling executive responsibilities with poise and confidence
  • E-Money, MoneyGuide Pro, Right Capital, Redtail, Salesforce, Riskalyze, Ycharts, and Microsoft office

Education

BBA - Business Management & Economics

The University of Texas At Arlington
Arlington, TX

Certified Financial Planner - CFP

College of Financial Planning
Denver, CO
1994

Licenses

  • Series 7, Series 63 and Series 66
  • Certified Financial Planner since 1995
  • Texas Life and Health Licensed

Work History

SR Financial Advisor

Vanguard
Plano, TX
2021 - Current
  • Investment manager and financial planning advisor
  • Drive consultative financial advice relationships among HNW and UHNW clientele
  • Establish credibility through white glove relationship management, articulate custom financial solutions and financial acumen education
  • Contribute to team leadership for positive problem solving, new advisor coaching and educating advisors on outside industry product offerings such as alternative investments, insurance and annuities.

Wealth Advisor,Branch Mgr & Director Portfolio Mgt

Garrett Wealth Advisory DBA BentOak Capital
Ft Worth, TX
  • Branch manager for financial planning and RIA CPA firm
  • Supervised associate advisors, operations staff and lead a complex practice buy- out
  • Decision making member of practice management team and Investment Committee.
  • Responsible for investment management decisions, portfolio construction, security selection, due diligence research, batch trading and advisory model operations
  • Periodically audited industry product offerings including alternative, private equity and insurance based products for client suitability, strategic benefits and detractors
  • Lead wealth advisor for 200 HNW/UHNW clients

Portfolio Strategist

Homans & Associates
Hurst, TX
  • Portfolio management and Financial Planning advisor working with HNW and UHNW investors
  • Established advice methodology platform to expand practice efficiency and grow new business
  • Key decision maker for investment selection, security screening, periodic rebalances and large batch trading
  • Designed investor profile metrics to expand comprehensive financial planning services and document periodic client analysis updates and outcomes.
  • Created advisory client communications for quarterly market and economic outlooks and periodic portfolio performance updates

VP Financial Planning

Schlindwein & Assoc. Investment
Dallas, TX
  • Executive VP financial planning role for branch office in Dallas
  • Developed program to integrate comprehensive financial planning into investment management practice
  • Provided financial plan advice to enhance client allegiance and expand university professor, corporate executive and nonprofit philanthropist clientele
  • Decision making member of firm investment committee involving security research and selection
  • Conduct model portfolio and security due diligence reviews. Research and evaluate technical market and economic data for committee meetings and portfolio and model holdings discussions

Wealth Advisor & Investment Committee Executive

RAA Wealth Management
Dallas, TX
  • Provided investment and financial planning solutions for HNW and UHNW pilot retirees
  • Served alongside CEO and CIO as a decision-making member of the Investment Committee
  • Conduct model portfolio and security due diligence reviews. Research and evaluate technical market and economic data for committee meetings and portfolio and model holdings discussions
  • Expert technical resource for advisor team on industry product offerings and client suitability and strategy objectives. Educated advisor team about best practices, financial benefits and detractors. Presented planning analogies for annuities, private equity, life insurance, long cash ETFs and alternative product offerings

Private Client Financial Consultant

Fidelity Investments
Southlake, TX
  • Investment and financial planning advisor engaging HNW and UHNW clients through portfolio, income, tax and estate planning solutions
  • Present branch seminars educating clients on various investment and financial planning strategies
  • Developed custom financial plans, conducted investment analysis and research and presented strategies based on client suitability, financial objectives and planning time horizon

Brokerage Director

Mass Mutual
Fort Worth, TX
  • Responsible for structuring and organizing a new business unit within a general insurance agency to promote full service financial planning, annuity and life product education and sales support to develop a firm presence in the independent financial advisor community.
  • Developed impactful and strategic partnerships with independent financial advisor community to drive new business development.

Large 401k Plans Client Management

Fidelity Investments
Westlake, TX
  • Directed Large DC and DB investment and recordkeeping plan sponsor relationships for $1 billion in Fidelity managed assets and supervised sales, service, recordkeeping and participant communication teams.
  • Developed and maintained strong knowledge of multiple products and varying levels of benefits within each product for cross sell opportunities among plan sponsor executives for personal advice planning
  • Provided trust document review and ongoing plan sponsor education, worked with ERISA attorneys and educated and advised 401k Executive Committees about identifying 3(21) and 3)38) responsibilities and liabilities

VP Sales

The Hartford
Dallas, TX
  • VP of Sales for 401k planning, consulting independent financial advisors for TX, OK and KS territory
  • Establish new business territory within the mid size 401k plan market
  • Built internal sales team to assist outside sales territory, developed annual business plan to increase market share, uncover new sales opportunities and increase revenue.

VP Institutional 401k Sales

Delaware Investments
Philadelphia, PA
  • 401k Institutional Sales focused on new business development and consultative presence in the Large DC/DB qualified plans and investment only market space
  • Lead 10 state sales team, exceeding quarter to quarter production goals for Large DC/DB plan clientele with assets of $100 million to $1b.
  • Built internal associate team to assist with relationship management and administrative support for outside sales consultants, created annual business plan to increase market share, uncover new sales opportunities and increase revenue.

Financial Planning and Investment Consultant

H.D. Vest Investments, Inc
Irving, TX
  • Integrated a proprietary Broker Dealer business plan into CPA tax practices using comprehensive investment and financial plan solutions to transform the tax practice into a wealth management firm, and disrupting the financial services industry away from an old school broker transaction business model forever
  • Provided technical expertise across a variety of financial service products and general and advanced financial strategy solutions. Through relationships I built with CPAs nationwide, I reviewed thousands of client financial profiles and presented thousands of comprehensive financial and investment recommendations addressing HNW and UHNW tax clientele

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Stephanie Szabo, CFPFinancial Advisor and Certified Financial Planner