Kathryn Swain

Former Wall Street executive looking to make a life change to Flight Attendant.  

Investment Advisor with 30 years’ experience providing comprehensive financial planning, investment management, and retirement planning expertise. Possess strong analytical skills and a deep understanding of markets, investment products, risk management, and portfolio construction. Proven track record of delivering exceptional results to high-net-worth clients. Featured speaker to large audiences. CORE COMPETENCIES • Strategic Planning • Investment Management • Financial Forecasting • Financial Reporting • Capital Markets • Team Management • Talent Mentoring • Data Analysis • Entrepreneurship • Stakeholder Management • Business Development • Client Management • Financial Planning • Budgeting • Risk Management • Portfolio Construction PROFESSIONAL EXPERIENCE LGBQTQINVEST, LLC Sep 2021 – Mar 2023 | Los Angeles, CA President • Established an independent Registered Investment Advisor focused on the often-overlooked needs of the LGBTQIA+ community. • Managed all non-investment operations for the firm including operational and compliance functions; actively served as Chief Compliance Officer. • Spearheaded marketing and branding initiatives to increase target market penetration, all whilst enhancing organizational coordination. • Partnered with attorneys to establish corporate structure, FINRA registration and ensured all paperwork and regulatory requirements are met according to the Investment Advisors Act and the Uniform Securities Code. • Facilitated high-level discussions with partners and successfully negotiated cross promotions with third parties. • Conducted research and analysis of stocks, mutual funds, exchange traded funds with special emphasis on LGBTQIA+ inclusion and diversity. • Built creditability, established rapport, and maintained communication within the financial services community regarding LGBTQIQ+ investing; featured expert panelist on inclusion and diversity and hosted weekly radio show on the topics of money and lifestyle to promote the firm’s objectives. CHURCHILL MANAGEMENT GROUP Apr 2010 – Jul 2020 | San Francisco, CA Vice President • Marketing Director overseeing Northern California, Washington, and Oregon. • Successfully closed and managed $450M in investor AUM during 10-year tenure. • Provided investment management and financial planning services to clients, including retirement planning, estate planning, and tax planning. • Generated in-depth understanding of investment products; gathered market intelligence to facilitate delivery of research/product offerings, resulting in continued investor loyalty and dramatic gains to overall profits. • Leveraged market knowledge and expertise to facilitate new business opportunities, including management of multiple related projects directed toward strategic new business growth and other organizational objectives. • Maintained client relationships through regular communication, meetings, and updates on investment performance. • Featured speaker participating in seminars, and networking events to build relationships and grow the business. OSBORNE PARTNERS CAPITAL MANAGEMENT Dec 2006 – Aug 2008 | San Francisco, CA Director • Managed sales, marketing, and distribution teams. • Developed and implemented firmwide marketing strategies to drive revenue growth and increase market share. • Successfully conduced comprehensive overhaul of firm’s branding, collateral, and portfolio construction. • Conducted market research and analyzed broker referral patterns to identify opportunities for new product development and expansion into new broker dealer distribution platforms. • Built and maintained strong relationships with clients, prospects, and industry influencers to drive business growth. • Collaborated with internal teams including ownership, investment committee, legal, and compliance to ensure marketing and sales initiatives were compliant with regulatory requirements firm’s objectives. • Assembled a top-performing sales and marketing team which achieved revenue targets and exceed performance metrics. • Developed accurate cash budgeting model for marketing and sales teams, including goal setting and monthly variance analysis to accurately monitor, and forecast company cash needs, guided company finances successfully throughout tenure. CHARLES SCHWAB Jul 1997 – Dec 2006 | San Francisco, CA Regional Sales Manager • Lead Trader for Schwab’s premier equity and option trading desk, gaining vast exposure to trading, marketing and wholesaling. • Conducted hundreds of live and online presentations and trained Series 7 Financial Consultants in professional speaking and sales skills. • Achieved over $1 billion in new to firm fund flows in 2006. MERRIL LYNCH Dec 1993 – Jul 1997 | San Francisco, CA Financial Consultant • Professional Development Program Graduate; accumulated vast experience in sales and marketing of proprietary products and services. • Successfully achieved $20m in AUM. EDUCATION University of Maryland, College Park 1991 – 1993 Bachelor’s Degree Additional Certifications: • NASAA Series 66 License ADDITIONAL SKILLS & INTERESTS Technical Skills: Microsoft Office Suite, Adobe Audition, Rush

BA University of Maryland 1994