William Michael Guthrie, CFA, CFP®

5577 Waterford Circle • Sheffield Village, OH 44035 440-934-7771 (h)

wmgut@roadrunner.com

Executive Summary

High energy, driven Wealth Management executive with over 22 years of extensive practical experience in all
facets of wealth management including portfolio management, trust, brokerage, relationship management, private
banking, and senior management seeking a challenging senior leadership role that will fully utilize a rich
background and deep skill set.

Experience/Highlights:

National City Bank – Private Client Group August 2002 - December 2009
Pittsburgh/Indianapolis/Cleveland

Senior Vice President/Director of Charitable & Endowment Services January 2007- December 2009

• Increased new actual C&E revenue over plan revenue by over 315% and total actual C&E revenue v. plan
revenue by over 125% (YOY 2007 v. 2006).
• Built the infrastructure for this business from the ground up including the development of separate marketing
collateral and the creation of a separate and distinct fee schedule.
• Responsible for the national leadership and management of the Private Client Group Charitable & Endowment
(C&E) practice ($3.5B AUM) across a multi-state footprint consisting of 25 Charitable & Endowment focused
portfolio managers and fiduciary officers nationally.
• Provided charitable planning, gifting Strategies and investment/spending policy consulting for both individuals
and not-for-profit organizations.
• Provided extensive investment management solutions utilizing an open architecture approach including equity,
fixed income, derivative strategies and alternative investments with various hedge fund styles and private
equity.
• Responsible for orchestrating all activities and management of staff related to the administration of charitable
relationships for individuals and institutions.

Senior Vice President/Market Executive November 2004 - December 2006

• Through demonstrated sales leadership and management skills successfully increased annual revenue over
150% for the state of Indiana (2005).
• Responsible for the management of six client management teams consisting of approximately 45 employees
including Client Advisors, Relationship Managers, Private Bankers and Brokers across the state of Indiana.

Senior Vice President/Senior Investment Officer November 2003 - November 2004

• Responsible for the management of 12 portfolio managers ($4.5B AUM) in the state of Indiana.
• Responsible for all derivative and hedging activities for the banks largest family account (account size was
approximately $1B with a concentrated stock position exceeding $700M).
• Successfully eliminated all Courtesy Consult accounts across all account types.
• Developed an improved TIC peer review process resulting in greater efficiency.
• Proactively Managed PM’s implementing procedures and guidelines to align accounts with banks best thoughts
(asset allocation, alternative & derivative strategies, concentrations).
• Served as chairman of the regional trust investment committee.
• Member of the Private Client Group Derivative Team providing strategy and training to PM’s.
• Member of Sterling Private Investors Investment Committee.
• Advisory Board member to Sterling Private Investors Private Equity Real Estate Fund.
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Vice President/Relationship Manager August 2002 - November 2003

• Implemented wealth management strategies and orchestrated all activities related to the administration of high
net worth investment management relationships.
• Served as a trusted advisor and the primary contact for the client.
• Coordinated the creation of specific fiduciary, tax and investment strategies and oversaw the execution of all
related activities.
• Developed and maintained client and center of influence relationships.
• Cross sold and leveraged appropriate private client group and bank resources.

Mellon Financial Corporation June 1995 - April 2002

Pittsburgh, PA
Mellon Private Asset Management March 1999 - April 2002

Portfolio Manager

• Managed a $350MM AUM book of high net worth accounts ($2MM+) in accordance with the terms of the
governing instrument or contract, accepted fiduciary principles, investment policy and the needs and objectives
of the client.
• Met with clients to formulate account objectives and administrative requirements. Maintained a continuous
program of oral and written communication to verify client objectives and report on performance in meeting
these objectives.
• Communicated with clients on portfolio transaction activity and strategies, economic and market developments,
trust administration and tax matters.
• Worked with the fiduciary section to optimize client estate plans and with the sales team to gain enrichments.
• Worked closely with the team leader to help meet profitability goals assigned to the team.

Other Employment January 1988 - June 1995

Pittsburgh, PA
• Senior Credit Analyst - Institutional Banking, Mellon Bank, NA
• Corporate Credit Policy Department - Corporate Credit Training Program, Mellon Bank, NA
• Investment Broker with A.G. Edwards & Sons, Inc.
• Sales Manager and Agent with Prudential Insurance Company and an agent with Metropolitan Life Insurance
Company.
• Qualified for one international and two national sales conferences, as well as agent of the year for two
consecutive years for superior sales achievements with Prudential Insurance Company.

Education:

Duquesne University Pittsburgh, PA

Master of Science in Taxation 2002
Concentration: Taxation of Derivatives and Financial Instruments

Duquesne University Pittsburgh, PA

Master of Business Administration 1995
Concentrations: Finance and International Business

University of Pittsburgh Pittsburgh, PA

Bachelor of Science 1987
Major: Pure Mathematics
Minors: Philosophy, Psychology
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Professional Designations/Certifications:

• Chartered Financial Analyst (CFA)

• Chartered Market Technician (CMT) in progress (level 2 of 3 complete)
• Certified Financial Planner (CFP)
• Certified Trust and Financial Advisor (CTFA)
• Chartered Financial Consultant (ChFC)
• Chartered Life Underwriter (CLU)

Professional Licenses:

• Series: 4 - FINRA Options Principal

• Series: 7 - FINRA General Securities
• Series: 24 - FINRA General Securities Principal
• Series: 63 - FINRA Blue Sky
• Series: 65 - FINRA Registered Investment Advisor
• Series: 90 - Life, Health, Accident & Annuity

Board/Memberships/Associations:

• Member, CFA Institute.

• Member, Cleveland Society of Financial Analysts, Inc.
• Member, Market Technicians Association (MTA).
• Member, Financial Planning Association (FPA).
• Member, Cleveland Estate Planning Council.
• Serve as a member of the Market Technicians Association Finance Committee.
• Served four years as a Member of the FINRA (formerly NASD Regulation, Inc.) Board of Arbitrators.
• Served three years on the CFP Board of Standards as an exam item-writing member to develop and prepare
questions for the final comprehensive CFP exam.
• Served two years as a voluntary Board member for the CFP Board of Professional Review.
• Served as a grader for four years in the areas of derivatives, quantitative analysis and financial statement
analysis for the level II and III CFA exams administered by CFA Institute.
• Served on the CFA Institute Advisory Board Committee (Job Analysis Project).
• Served as Adjunct Faculty for Robert Morris College and The College for Financial Planning.
• Served on the Board of Directors for the Indianapolis Humane Society as Treasurer and Chairman of the
Finance/Investment Committees.