WARNER H.

ARTHUR
8 Ledyard Avenue Cazenovia, New York 13035
315-655-5552 (h) waffded2@westpost.net
MANAGEMENT:
Regulatory Compliance, Insurance, or Securities
Growth-driven and award-winning insurance industry executive equipped with exper
tise building and training top-performing agent teams, cultivating mutually-bene
ficial client relationships, and overseeing daily business operations. Offer dem
onstrated track record of success managing multimillion-dollar accounts, turning
around underperforming offices, and improving productivity and profitability. D
ecisive problem solver who tackles complex business issues with confidence and t
enacity. Hold multiple securities licenses. Core competencies include:

Business Development Regulatory Compliance Securities Banking Client Prospect

ing
Account Management Turnarounds Training/Development Team Leadership/Motivatio
n
Strategic Planning Business Plans Relationship Management Sales/Marketing

PROFESSIONAL SYNOPSIS
Combined Life Of New York, Syracuse NY January 1 2010 to present
Direct hire Territory Manager
Field train new and experienced agents.
SELF-EMPLOYED, Syracuse, New York 2009
Insurance Agent/Broker and Investment Advisor
Oversee daily business operations. Prospect, attain, and manage key accounts, id
entifying and capitalizing on client value. Hold licenses across Tennessee, Geor
gia, Connecticut, New York, and Massachusetts.
Secured $2M account utilizing keen client prospecting and value identification
techniques.
NEW YORK LIFE, Albany, New York 2008-2009
Partner
Led new agent recruiting and training programs. Supported newly hired agents thr
oughout certification process, providing mentorship and motivational professiona
l guidance. Facilitated sales training courses.
Yielded ongoing productivity and profitability increases through conducting com
prehensive training.
WADDELL & REED, Albany, New York 2004-2008
Managing Principal
Hired to turnaround underperforming office, coordinating staff overhaul, develop
ment of new practices, and establishment of process to administer files and crit
ical documents. Directed all compliance-related functions. Recruited and trained
new personnel, with focus on sales staff. Led cultivation and maintenance of cl
ient relationships. Managed group of 15 financial advisors.
Fueled business increase by promoting mutually-beneficial relationships among s
ales staff and
their clients.
Played integral role in resolving major compliance issue as well as turning aro
und company to reduce FINRA audit violations to zero within 1 year through formu
lating strong compliance practices and training knowledgeable staff.
WARNER H. ARTHUR
Page 2 315-655-5552 (h) waffded2@westpost.net

CNY BROKERS, Syracuse, New York 2001-2004

Managing Principal
Served in 2 concurrent brokerage leadership roles. Established brokerage firm (C
NY) from ground up to match with Guardian Securities. Filed paperwork, designed
and presented business plan, and orchestrated marketing efforts to drive busines
s development. Fostered and maintained relationships to grow client base and inc
rease profitability.
Managed $100M client funds, ensuring provision of quality products and services
.
Generated $4M in GDC business within 1 year.
Earned GAMA Awards during several consecutive years for production and received
international recognition for performance excellence.
PARK AVENUE SECURITIES (Guardian Life), Syracuse, New York 1997-2004
General Agent
Oversaw all aspects of agency with 22 full-time representatives and 75 brokers.
Provided clients with world-class products and services.
Produced approximately $4M in GDC annually.
BERKSHIRE LIFE (bought out by Guardian), Syracuse, New York 1996-1997
General Agent
Delivered high-quality insurance products and services to wide-ranging clients.
Maintained relationships with client base to drive business.
PAUL REVERE INSURANCE GROUP (bought out by Provident Life and Accident), New Yor
k, New York 1986-1996
General Agent
Recruited, trained, and administered award-winning office. Sold disability and l
ife insurance products. Ensured quality customer service, sustaining profitable
client base. Selected to serve on all corporate advisory groups to develop compa
ny productivity.
Achieved #1 General Agent ranking companywide during 10 consecutive years.
Won Presidents Trophy, Harrington Trophy, and recruiting trophy year after year
for superior performance.
Career Note: Also previous served as Agent for Paul Revere Insurance Group.
ACADEMIC & PROFESSIONAL CREDENTIALS
Bachelor of Science, Business Administration, Parsons College Fairfield, Iowa
FINRA CRD #: 2988928 (no complaints)
General Securities Principal 24
Series 6, 7, 63, and 66 Licenses