Summary
Overview
Work History
Education
Skills
Timeline
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Stephen Dodge

Columbus,OH

Summary

Accomplished Financial Advisor with over 20 years of experience building and cultivating lifetime client relationships now an Ohio licensed Attorney seeking career advancement in the legal profession. Bringing a clean compliance record with no client complaints, knowledge of tax efficient investing, portfolio management, estate planning, retirement planning and asset division for divorce. Resourceful, hardworking and passionately dedicated to satisfying goals for clients.

Overview

27
27
years of professional experience

Work History

Corporate Legal Counsel

Verts Dispensary, LLC
Columbus, Ohio
06.2023 - Current
  • Collaborated with outside counsel in handling complex litigation matters, including pre-trial discovery activities, motion practice, settlement negotiations, and trial preparation.
  • Admitted Pro Hoc Vice to associate with outside counsel, Lathrop GPM LLP for Circuit Court of Clay County, Missouri for Case No.: 22CY-CV03887, Eldo Organic, LLC v. Astro Farms Alpha LLC, et al.
  • Researched and drafted memoranda on case law related to illegal contracts, breach of contract, promissory estoppel, and unjust enrichment claims.
  • Drafted and delivered a criminal complaint to a Missouri prosecutor, which led to a criminal investigation of opposing litigant.
  • Actively involved in the planning and execution of a third-party financial audit that was necessary to determine capital contributions.
  • Reviewed, analyzed, and interpreted legal documents, such as contracts, lease agreements, pleadings, and other corporate documents.
  • Drafted a 100+ page statement of facts that identified relevant legal issues and the history of the contract dispute that was the subject of litigation.
  • Used in-depth knowledge of legal precedents to analyze probable outcomes of cases, and collaborated with outside counsel on the same.
  • Researched, interviewed, and assisted in hiring outside counsel on two additional legal disputes.
  • Maintained nondisclosure agreements through negotiation process and proposed language modifications to company agreements.
  • Composed and revised legal documents, letters, depositions and court documents.

Associate Attorney

Alerstallings
Dublin, OH
12.2022 - 03.2023
  • Met with clients to determine wealth transfer goals and advised appropriate estate planning strategies.
  • Drafted and presented revocable and irrevocable trusts depending on client goals and objectives.
  • Drafted and presented traditional and pour over wills, Ohio living wills, health care and financial powers of attorney.
  • Analyzed clients' existing estate planning documents to determine they were in line with objectives.
  • Advised clients on probate avoidance and offered support through researching and answering client questions and provided annual reviews.
  • Long-term care and assisted living planning for loved ones.

Vice President Wealth Management Advisor

Merrill Lynch
Columbus, OH
08.2008 - 12.2021
  • Successfully grew a book of business to 80+ households and businesses with assets under management of $95 million.
  • Cultivated and grew client relationships through comprehensive management of client's entire balance sheet utilizing deposit and lending products, customized asset allocation solutions, traditional asset management strategies, long term financial plans, retirement forecasting, alternative investments, estate planning and risk management protection.
  • Achieved persistent growth of new client acquisition, assets under management and revenue production.
  • Designed and implemented a client service model with a focus on regular client contact, automated client communication of updated economic research and investment ideas, in person client portfolio performance reviews and progress towards goals.
  • Acted as a fiduciary providing discretionary portfolio management applying a goals based investment strategy.
  • Achieved client acquisition goals through networking with centers of influence, client referrals and client workshops.
  • Interviewed clients to determine current income, expenses, insurance coverage, tax status, financial objectives, risk tolerance and other information.

Legal Intern

Capital University Legal Clinic
Columbus, OH
01.2019 - 05.2019
  • Drafted will and estate plan for client.
  • Assisted client file for divorce via efile.
  • Facilitated client get reduced criminal charges and expungement of her criminal record.
  • Represented client in eviction proceeding. We resolved the issue in clients' favor and he remained in his home.
  • Spent several hours per week assisting the City of Gahanna prosecutor. Negotiated pleas with charged individuals.

Senior Financial Advisor

UBS Wealth Management
Columbus, OH
07.2002 - 08.2008
  • Rapid pace in growth of new client acquisition and assets under management utilizing telephone marketing and client referrals.
  • Practiced holistic wealth management services that included analysis of client's entire financial picture and customized income and retirement strategies.
  • Converted existing transactional based business to a fee based service model creating stream of annuitized income on $45 million of client assets.
  • Hired, mentored, and developed junior financial advisor and sales assistant.
  • Earned highly coveted Certified Financial Planner (CFP(r)) designation

Financial Advisor

Morgan Stanley Dean Witter
Columbus, OH
12.1999 - 07.2002
  • Successfully graduated from Financial Advisor Training Program.
  • Obtained required regulatory licenses including Series 7-General Securities Representative Examination, Series 63-Uniform Securities Agent State License, Series 65-Uniform Investment Advisor Examination, Series 31-Manage Futures Examination, and Ohio Insurance Agent License.
  • Earned the National Sales Director award for being in top 5% of my training class based on new account acquisition, new account assets, and new financial plans delivered.
  • Assisted clients with planning for and funding retirements using mutual funds and other strategies.
  • Answered clients' questions regarding details of financial plans and strategies and explained data in easy-to-understand terms.

Funds Management Coordinator

Bank One, NA
Columbus, OH
11.1998 - 12.1999
  • Assisted Bond Trading Desk to ensure upcoming bond sales were not being used as collateral for other financial transactions.
  • Reconciled Financial Statements to affirm adequate collateral for Bond Issuers.
  • Improved systems to track bond transaction status and collateral as regulatory capital.
  • Created a manual for future employees with detailed instructions on how to perform job responsibilities.

Education

J.D. - Law

Capital University
Columbus, OH
05.2019

BBA - Finance

Ohio University
Athens, OH
08.1998

None - Core Studies

Colorado State University
Fort Collins, CO
05.1996

Skills

  • Stock market expertise
  • Planning for retirement
  • Making insurance decisions
  • Managing wealth
  • Developing financial plans
  • Banking and Lending Products
  • Understanding tax law
  • Increasing savings
  • Funding education
  • Relationship building
  • Economic Analysis
  • Technical Analysis
  • Practice Management
  • MS Office
  • Salesforce and Customer Relationship Management
  • Interpersonal and written communication
  • Proficient in communicating complex topics into easy to understand terms
  • E-file
  • Legal Research via Westlaw and Lexis Nexis
  • Legal Writing
  • Estate Planning
  • Probate Avoidance

Timeline

Corporate Legal Counsel

Verts Dispensary, LLC
06.2023 - Current

Associate Attorney

Alerstallings
12.2022 - 03.2023

Legal Intern

Capital University Legal Clinic
01.2019 - 05.2019

Vice President Wealth Management Advisor

Merrill Lynch
08.2008 - 12.2021

Senior Financial Advisor

UBS Wealth Management
07.2002 - 08.2008

Financial Advisor

Morgan Stanley Dean Witter
12.1999 - 07.2002

Funds Management Coordinator

Bank One, NA
11.1998 - 12.1999

J.D. - Law

Capital University

BBA - Finance

Ohio University

None - Core Studies

Colorado State University

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Stephen Dodge