1. D IANA R UTH D AV IDSON , CFP
2031 S. Bentley Ave., Unit 201 • Los Angeles, CA 90025
310.919.9372 • pleindespoir78@msn.com
Senior-Level Management
PROFILE
Personable, solutions-oriented professional with a proven track record of successfully leading and guiding diverse
teams toward attaining targeted objectives amongst stressful, high-pressure, and ever-changing environments.
Adept at developing innovative and strategic solutions to resolve complex problems/issues. Excels at delivering
process improvement initiatives and business plans to boost company revenue and optimize performance. Ensures
that all appropriate actions are taken to achieve total client/customer satisfaction. Forms solid and collaborative
relationships at all organizational levels.
Additional areas of expertise include:
Negotiations Account Management Process Analysis
Project Management Training/Instructing Strategic Planning
Financial Management Investment Consulting Sales Development
Regulatory Compliance Recruiting Business Solutions
Marketing Mediation/Arbitration Operations Management
SELECTED HIGHLIGHTS
♦ Generated the highest levels of customer service by introducing and executing sound processes
and procedures.
♦ Successfully spearheaded overall efforts to generate multimillion-dollar revenues in mutual fund sales
and asset acquisitions.
♦ Recognized by corporate management for consistent success in designing innovative and “out-of-the-
box” plans to achieve and exceed goals.
♦ Maintained an existing client base while managing multi-faceted, concurrent projects to successfully
generate new revenue streams.
♦ Earned an “Outstanding Achievement” award at PaineWebber for generating significant revenue
increases in mutual fund sales.
♦ Gathered approximately $7M in new assets for two consecutive years at PaineWebber; achieved top
quartile at company.
♦ Consistently increased client base by continuously analyzing market conditions and improving
organizational reputation.
♦ Maintained regulatory compliance by effectively training associates and implementing and coordinating
office-wide best practices.
♦ Possesses a clean U4 compliance history of 20+ years.
♦ Won various awards and contests at Shearson Lehman Hutton for generating the top results in opening
new accounts and securing additional assets.
♦ Crafted a personal plan that led toward the acquisition of 7 professional designations
in 13 months—Certified Financial Planner; ChFC (Chartered Financial Consultant);
AAMS (Accredited Asset Management Specialist); CLU (Chartered Life Underwriter);
CRPS (Chartered Retirement Planning Counselor); CRPC (Chartered Retirement Plans
Specialist); and AWMA (Accredited Wealth Management Advisor).

2. Continues . . .
D IANA R UTH D AV IDSON , CFP
310.919.9372 • pleindespoir78@msn.com • Page Two
CAREER TRACK
WACHOVIA SECURITIES, AVP - Investments, 1997 to 2009
• Established and maintained client accounts and relationships.
• Gathered new assets and developed business plans.
• Conducted regular, periodic assessments to ensure future ROI.
• Provided sound solutions to satisfy multiple issues and concerns.
• Conducted monthly educational seminars covering financial management, IRAs, 401k, and estate planning.
• Mentored college interns during work-study programs.
PAINEWEBBER, Financial Advisor, 1992 to 1997
• Oversaw fee-based managed accounts utilizing outside Money Managers.
• Opened IRA rollovers and contributory IRAs.
• Analyzed and identified new asset opportunities.
• Developed and supervised top-performing teams.
• Elected as a member of the 1996 Mutual Fund Advisory Council.
SHEARSON LEHMAN HUTTON, Financial Advisor / Consultant, 1989 to 1992
• Opened several new accounts to bring in new assets for the company.
• Mentored associates on prospecting and closing.
• Served as office ERISA Coordinator—provided information and advice on retirement issues.
• Landed a $3M account through a cold call within three months after joining company.
Previously served as a High School Science and Math Teacher at Marlborough and The Buckley School—
consistently commended for creating trustworthy teacher-student relationships.
EDUCATION
Hunter College, CUNY, B.S. in Chemistry & Biology
UCLA, Advanced Coursework in Phenomenology, Existentialism, and Symbolic Logic
CSLA, Life Secondary Teaching Credential in Chemistry, Coursework in Symbolic Logic
Awarded an NIH Fellowship for a Ph.D. in Neuroscience at the Center for Brain Research at the University of Rochester
CREDENTIALS
Member of the California Society of CPAs • Member of Monarch Society, PLANCO (for superior mutual fund sales)
CFP - Certified Financial Planner • CRPC - Chartered Retirement Planning Counselor • CLU - Chartered Life Underwriter
CRPS - Chartered Retirement Plans Specialist • AAMS - Accredited Asset Management Specialist
AWMA - Accredited Wealth Management Advisor • ChFC - Chartered Financial Counselor
AFFILIATIONS / COMMUNITY SERVICE
LA5 Rotary Club
Committee Chair - mentors school children
Special Olympics
Advisory Board - fundraising
Andre Sobel River of Life Foundation
National Advisory Board and Founding Member / Fundraising Advisory Board –
specializes in assisting single, financially strapped parents with catastrophically ill children
Club 100 of the Music Center, LA

3. Member – fundraising to provide music and arts education in grades K to 12