Richard E.

Dueringer
16332 Wild Cherry Drive
Granger, IN 46530
Business/Cell: 574-360-0427 Home: 574-289-6471
e-mail: rdc42aae@westpost.net
SUMMARY: Investment Professional with over 23 years of
business development experience and responsibilities
successfully proven at the local, regional, national and
international levels. Hands-on experience in legacy
planning and asset management for high-net-worth families
and institutions, managing at one time over $300 million.
Additional experience includes entrepreneurial successes in
international sales, marketing, and management consulting,
finance, and operations. International business travel to
32 countries; lived/worked overseas. Fluent Spanish.
Se HABLA ESPANOL

OBJECTIVE - Seek serious interviews with hiring managers who

have a mutual passion for the investment industry and for
whom my experience and accomplishments have high potential
to add considerable value within their business building
structure. Will relocate for right opportunity.

WORK EXPERIENCE

MERRILL LYNCH - Elkhart, IN

Trainee / Financial Advisor - August, 2007 - May 1, 2009
> Completed training and testing for licenses:
series 7, 63, 65, and insurance
> Implemented strategic plan specializing in Medical 401K
plans in the $5-10 million range
> Elkhart Office closed (Merrill Lynched forced to downsize,
merge with Bank of America)

ENTERPRISE MANAGEMENT GROUP - (please see below) Returned

part-time 8/2006 - 7/ 2007.

HABITAT FOR HUMANITY of St. Joseph County, South Bend, IN

Development Director - August 2005 - July 2006, one-year
contract in giveback to community. World's largest
non-profit home builder
> Managed Corporate partnership model for funds, in-kind
donations, and volunteers to help with builds.
> Developed partnership with Home Builders Association to
fully fund and build 2 houses.
> Presided over building of the 99th and 100th house; built
publicity around this milestone
> Cultivated media and community relations strengthening
brand identity for Habitat
ENTERPRISE MANAGEMENT GROUP, INC. Chicago/South Bend
Principal / Partner, Co-founder 2003- 2005 (see website at
enterprisemg.com) Provides turnaround/workout services to
clients of banks and equity capital firms
> Developed and managed marketing and business relationships
to secure consulting engagements for firm, reducing
downtime of principals and increasing revenue by 23%

HARBOR SPRINGS FINANCIAL MANAGEMENT South Bend, IN

Principal / Partner, 2000 - 2003 - using Sky Financial
successor firm as Broker Dealer
[Asset management for institutions and high-net-worth
individuals]
> Managed proprietary portfolios for all of firm's clients
realizing 19% higher average composite returns than
corresponding Index each of 3 yrs
> Continued to personally serve a base of high-net-worth and
ultra-HNW clients

SKY FINANCIAL INVESTMENT SERVICES - Bryan, OH

Assistant to President 1999-2000 (one-year contract)
(Hired to help sell the Broker/Dealer)
[Regional Broker/Dealer investment firm owned by
Regional Bank]
> Completed critical objectives to increase assets and closed
profitable sale of company
> Increased profit from orphaned accounts by 67%, adding
$280,000 to the bottom line
> Historic note: company eventually became, and is today
Berthel Fisher (HQ Marion, IA)

DUERINGER & ASSOCIATES INTERNATIONAL - Notre Dame, IN

DBA: "International Trade and Investment Consultants" and
"Worldwide Exhibits"
Founder and Principal 1993-1999
> Provided international sales, marketing, and management
consulting services to variety of mid-tier companies.
Developed and executed strategies for client companies to
expand existing international markets, penetrate new markets,
and diversify market dependency.
> Negotiated 3 international joint ventures and arranged $30
million financing package
> Developed worldwide market entry strategy for client company;
did $23 million first year in overseas sales
> Increased distribution outlets in Latin America for 7
separate clients, boosting total sales for each company
by a margin of 14% to 39% over a two year period

ROBERT W. BAIRD & CO. Milwaukee, WI / South Bend, IN

Investment Officer, Corporate Services, 1990-1993
[Regional Wealth Management Firm]
> Managed Wealthy Client portfolios and Corporate Accounts
(over $300 million in assets)
> Advised corporate management on feasibility / location of
proposed office in Mexico
> Performed proprietary research on Mexican/Latin American
companies

E. F. HUTTON/SHEARSON LEHMAN HUTTON South Bend, IN

Vice President, Sales / Branch Manager / Regional Product
Manager, 1981-1990
[International WallStreet Brokerage and Investment Banking Firm]
> Opened/Developed/Managed new strategic office with full
revenue and profit responsibility; compliance and legal
responsibility; hired, recruited, and trained brokers (18)
and support staff (6)
> Managed office to a profit in first full year and to rank
in top 25% (revenue/profit per AE) in every year after
first year
> Led the sales and team by personally gathering $140 million
in assets
> Coached trainees to rank in top 10% over first 3 years'
performance vs. their peers
> Leveraged prior Columbia Pictures experience to craft a
motion picture partnership with Walt Disney Studios for
Hutton clients, the first ever of its kind. Firm raised
over $55 million.
> As Regional Product Manager for Consulting Services,
negotiated industry-first strategic alliances with money
management and merchant banking firms in England

EDUCATION
Graduate Degree, International Management,
Thunderbird Graduate School of Global Management, Glendale,
Arizona
Bachelor's Degree, Business Administration (concentration
in Marketing/Economics),
Miami University, Oxford, Ohio
SCHOLORSHIPS: Kneller Foundation Scholarship recipient -
study and travel in Europe;
Kroc Foundation - Hesburgh Center - University of Notre Dame
Delegate - 5-year study on Economics in Latin America.
CIVIC: Volunteer Delegate for the "Business Plan Competition"
at the Mendoza College of Business, University of Notre Dame;
Rotary International; various fund raising committees; Habitat
for Humanity volunteer on building crew
Relevant key words:
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investment representative, registered broker, account
coordinator, account executive, institutional sales,
registered representative, vice president, investment trader,
finance, sales, management, consulting, banker, banking,
series 7, insurance, attorney, teacher, stock broker,
financial planner, equities, securities, owner, series 6,
series 63, series 65, mutual funds, investments, teaching,
coaching, education, CPA, CFP, accounting, mortgage broker,
insurance specialist, changing careers, license, finance
manager, branch manager, regional manager, analyst, CFA,
director, manager, operations, research analyst, service,
technical, international, global, Spanish, South America,
Latin America, fluent, independent.