BRIAN D. HAAS 5329 Redfield Road Atlanta, GA 30338 678.428.3881 bh16181d2@westpost.net www.linkedin.

com/in/brianhaas1 KEYWORDS: Strategic Planning and Budgeting, Sales and Product Training, Policy/P rocedure Development, Sarbanes-Oxley, Evaluating Market Trends, Portfolio Manage ment PROFILE Experienced financial executive with proven track record in sales, operations, a nd compliance. Drives bottom-line results by growing revenue, creating operation al efficiencies and enforcing compliance controls. Savvy business leader adept at building strong relationships within the firm and with outside v endors. PROFESSIONAL EXPERIENCE SUNTRUST BANK Atlanta, GA: 2003-2011 Group Vice President and Fixed Income Desk Manager Managed the day to day operations of a SunTrust Investment Services department. Supervised five traders, two data specialists and a reconcilement analyst. Incre ased profits while keeping departmental budget and requirements within governmen tal rules. Maintained the corporations rules and regulations in accordance with government policy and board stipulations. * Increased revenues 300% over seven years. * Launched a new on-line trading platform resulting in increased production of m ore than 500 advisors, reduction of regularity risk, and increased overall margi n through expense reduction. * Reduced company risk exposure by analyzing policy and procedure process and ap plying consistent decision-making framework including implementation of policies to offer only bonds with an high investment grade, to offer Certificate of Depo sits of quality ratings, and to monitor distribution of client CD purchases amon g banks. * Worked directly with the compliance department to implement process, policy, a nd technology to maintain regulatory compliance. * Developed and implemented departmental policy and procedures manual which help ed to reduce banks risk requirement, adhere to the firms compliance needs and re quirements as well as those of all three industry regulatory agencies. * Achieved excellent FINRA and MSRB security regulatory agencies rankings, by di recting and monitoring the performance of the firms reporting requirements by th e security regulators. * Constructed human resource processes to support SOX compliance. QUICK & REILLY, INC. Alpharetta, GA: 2002-2003 Financial Consultant Recruited to open and develop North Atlanta market. Trained and mentored new fin ancial advisors in corporate policy and procedures and guided them in sales deve lopment and new market penetration. * Expanded portfolio by more than $100M. FIDELITY INVESTMENTS, INC. Atlanta, GA: 1990-2001 Branch Delegate, 1996 -2001 Assisted Branch Manager with all operational activities including driving scale and profitability through implementing operational efficiencies, managing branch infrastructure, and organizing and leading branch processing efforts. Identifie d strategic opportunities and participated in projects beyond the local market. Managed compliance with all policies and procedures. Conducted hiring interviews

, trained and developed new sales representatives. * Supported sales by coaching the Financial Representatives and Client Service S pecialists in an effort to increase outreach and build market share. * Maintained corporate compliance at 100% for four straight years. * Designed and implemented new procedures and staff training that increased cust omer satisfaction ratings from 78% to 92% over a four-year period. * Impacted bottom line results by $1.5M through attention to detail by identifyi ng a co-workers trade error, catching and re-billing the trade before the market opened. Senior Financial Representative, 1993-1996 Developed strategies to penetrate new markets and sell a range of financial prod ucts and services to the public. Located and prospected clients and led sales to achieve exceptional sales growth rates. * Individually produced $50M in equity and bond mutual funds, $3.9M variable and deferred annuities, $50M fixed income products, and $13M professional money man agement in 2000, a 15% increase from 1999. * Successfully developed market strategies to penetrate new markets and sell a f ull range of financial products and services. * Initiated 45 prospect calls per day resulting in face to face customer appoint ments and interactions in the branch every day. Insurance Coordinator, 1990-1993 Developed local efforts and implemented national initiatives to increase sales o f fixed and variable annuities and life insurance through in-branch customer con tacts, seminars, lead utilization and local marketing. * Trained representatives in all product lines sold by Fidelity. * Increased branch insurance sales production four-fold over seven years. * Earned 1996 National Insurance Coordinator of the Year award. BARNETT BANKS, INC. Jacksonville, FL: 1983-1989 Vice President and Fixed Income Desk Manager Managed fixed income trading and underwriting desk comprised of six traders prim arily trading in municipal bonds, U.S. Government securities, mutual funds and U nit Investment Trusts. * Coordinated working relationship between the trading desk and 65 sales officer s located in forty branch offices throughout Florida and Georgia. * Led competitive and negotiated new municipal bond offerings, acting as either a co-manager or selling group member on new issues ranging from $15M to $300M+. * Co-managed a $30M portfolio for Barnett Insurance, Inc., a wholly owned subsid iary of Barnett Banks, Inc., consisting of municipal bonds, corporate bonds, con vertible bonds, and money market instruments. * Generated growth over 25% through trading of securities and interest rate swap s. CERTIFICATIONS: FINRA Registered Representative (Series 7, 8, 24, 53, 63, 66) EDUCATION Bachelor of Science in Business Administration, Major in Finance, Auburn Univers ity, Auburn, AL HONORS AND ORGANIZATIONS Auburn University Athletic Department Advisory Council Member, 2004-2009 President of Redfield Swim and Tennis Club, 1997-2001 Certificate of Appreciation for Outstanding Dedication and Contributions to Auburn University from the Governor of Alabama, 1981 U.S.A. Olympic Swimming Trials Qualifier N.C.A.A. Swimming Championships Qualifier Southeastern Conference Swimming Championships Finalist Four-time Auburn University Varsity Swimmer