L. Brendan James
Denver
Summary
Successful investment banking professional with history of bringing about exceptional results in high-volume environments with demanding objectives.
Overview
26
26
years of professional experience
1
1
Certification
Work History
Regional Investment Consultant
T. Rowe Price
12.2015 - Current
- Vice President of T. Rowe Price Group
- Vice President of T. Rowe Price Associates
- Primarily work in a consultative fashion to enhance experience for advisors, and end clients, in the RIA and Regional Bank channel. Additional experience in the Broker/Dealer, and Institutional channels
- Cover advisors in the AUM range of $350M - $200B - current coverage area includes CO, UT, WY, MT, ND, SD, NE, KS, MO, IA, MN
- Collaborate with the investment staff to enhance clear lines of communication with investors
- Generated +$1.5B in net new flow over first four year period in the role
- Member of multiple internal organizations (WAVE/MOSAIC) that promote DEI initiatives
- Intern and new associate mentor
Director - Equity Trading
Wells Fargo Securities
01.2001 - 08.2015
- Built a business from a collection of un-covered or under-covered clients with varying investment mandates and AUM ranging from $50M to $25B
- Produced Y/Y commission growth on vast majority of accounts through superior customer service, idea generation, and distribution of value added information
- Front-line firm representative with decision making and account oversight responsibility
- Improved relationships with multiple internal business units including: Equity Research, Corporate Repurchase, Equity Syndicate, and Investment Banking
- Contributing member: Mentor and Intern Development programs
- Acted as market maker on behalf of the firm in over650 securities
- Multiple sector experience with a concentration in Consumer and Industrial equities
- Profitably balanced millions of dollars in capital exposure on daily basis while providing expected liquidity to institutional clients in a fast paced and intense environment
- Published daily sector notes and intra-day communications, distributed both internally and externally
- Daily written, telephonic, and face to face communication with both trader and PM level clients concerning equity movement, trade information, and idea dialogue
- Attended and participated in off-site research conferences and meetings that included PM level clients as well as C level public company executives
Back Office Operations
Deutsche Bank Alex Brown
01.1999 - 01.2001
- Times sensitive trade break resolution and trade booking
Education
Bachelor of Arts - History
Franklin And Marshall College
Lancaster06-1998
Skills
Equity and Fixed Income market background - High level client service - Investment analysis - Alternative investments, including non-daily liquid investments - non-investment value add programs for advisors
Accomplishments
NCAA Division 1 Wrestler - National Qualifier - F&M Hall of Fame Inductee
Certification
Earned Series 7, 55, 63, 65, 66
Timeline
Regional Investment Consultant
T. Rowe Price
12.2015 - Current
Director - Equity Trading
Wells Fargo Securities
01.2001 - 08.2015
Back Office Operations
Deutsche Bank Alex Brown
01.1999 - 01.2001
Bachelor of Arts - History
Franklin And Marshall College
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