| | | | Lisa ANn Gervais, cfp E-Mail: lg12a53c4@westpost.

net Phone: (619)4051422 |Education | |2000-2004 California Polytechnic State University San Luis Obispo | |Bachelor of Science Degree Business Administration | |Concentration: Financial Management with emphasis in marketing | |Work experience | |First Allied/ Advanced Equities Jan 2011 San Diego, CA | |Supervision Consultant | |Supervised advisor trading activity | |Monitor account performance in line with client objectives | |Maintain advisor relationships | |Review account documents to ensure in line with financial regulations | |Merrill Lynch 2006-2010 San Di ego, CA | |Registered Client Associate/CERTIFIED FINANCIAL PLANNER practitioner | |Maintained all client relations as primary contact for group with $400mm+ AUM | |Managed book and performed trading services for clients on daily basis without assistance | |Assisted with branch operations, notary services and the transitioning of new F A recruits | |Trained new hires and increased branch production through strategic marketing | |Attained CERTIFIED FINANCIAL PLANNER certification | |Washington Mutual and WM Financial Services 2005- 2006 San Diego, CA | |Licensed Personal Financial Representative | |? Increase branch revenues through selling both Banking and Investment Product s | |(Managed Portfolios, Fixed Annuities, Term and Whole Life Insurance) | |? Assist Financial Consultant through targeted-marketing techniques | |Morgan Stanley Dean Witter 2004-2005 San Luis Obi spo, CA | |Financial Advisor |

| | |Prepared financial plans for high net worth individuals | |Facilitated consultative relationships with clients and wholesale fund managers | |Applied series 7, 66, 31 and insurance licenses | |Increased firm revenues through targeted marketing | |Blakeslee & Blakeslee - Investment Banking 2003 San Luis Obispo, CA | |Intern for David Cryden, CFP | | | |? Prepared Portfolio Reviews for clients | | | |? Confirmed major account transactions through fund companies | | | |? Organized and facilitated client records | | | |Downtown San Luis Association 2003 Sa n Luis Obispo, CA | | | |Event Planner for "Taste of San Luis XI" | | | |? Coordinated over sixty wineries and restaurants to serve event | | | |? Managed finances for event contracts and receipts | |? Organized committees and attended annual planning meetings | |? Established proper licenses and sent public notices to community | | | |? Participated in event set up and ensured its smooth execution | | | |Cal Poly Stampede Club 2003 S an Luis Obispo, CA | | | |Promotional Marketing Planner | | |

|? | |? | |? | |? |

Provided club with an in-depth analysis of current promotional strategy | | Implemented surveys to assess current market | | Created promotional brochure and ad specialty items to boost membership | | Formally presented new promotional plan and budget to Club President | | | | | | | | | | | |

|2004-2005 |American Red Cross |? Board of Directors, San Luis Obispo

|San Luis Obispo Daybreak Rotary |1999-2000 |Students Reaching Out

| | |? Volunteer Organization in which students inform youth about the | | |dangers of drugs and alcohol | | |Campaign Activity | | |? Promoted campaign for Governor of California 1999 and Mayor of | | |Sacramento 2000 | | | | | ----------------------Professional Licenses . Series 7 . Series 66 . Series 31 . Life and Disability Insurance Computer Proficiency . Thomson One, Salesforce, Microsoft Word, Excel, Access, Frontpage, Outlook and Powerpoint . Typing ability 60+ wpm Other . Notary Public . Certified Financial Planner