1. ROBERT L. BOTT
149 Weyford Terrace 516 567 8963
Garden City, New York 11530 RLB149@aol.com
EXECUTIVE PROFILE (with Series 4, 7, 9, 10, 24, 63)
Retail Brokerage professional with proven expertise managing a large retail investment firm and growing
it from its small entrepreneurial roots.
Outstanding, results-driven leader and team builder with a keen customer focus.
Able to cultivate strong and lasting working relationships with external and internal business partners.
Track record of success:
Developing and implementing firm-wide growth strategies.
Managing change through new initiatives, mergers and the implementation of new technologies.
Increasing revenues while maintaining favorable expense ratios.
Recruiting, retaining and developing a multi-faceted, high-quality professional organization.
JP MORGAN CHASE 2007- 2016
Executive Director – Investment Banking Division (Broker Dealer Services & Clearance)
Senior Executive responsible for leadership, management and oversight of 3 nationwide service/relationship
teams. Each team was responsible for delivering comprehensive service to, and cultivating relationships
with, our 200+ Broker Dealer clients.
Assembled, organized and guided personnel that delivered first class service and attention to our
clients, by setting goals, evaluating results, and adjusting performance when needed, in order to
deliver an optimal client experience.
Prioritized activities that ensured client satisfaction and retention, while maximizing revenue
generation and regulatory compliance maintenance.
Led initiatives, which fostered teamwork, internal and external relationship building, and professional
development, leading to improved client satisfaction as well as employee recognition and promotions.
Encouraged and influenced behavior of staff by stressing the importance of personal responsibility to
their clients, families and careers. This behavior allowed us to maintain our high client satisfaction
and retention scores, which translated into year over year revenue growth.
BANK OF AMERICA / FLEETBOSTON FINANCIAL 1980 – 2005
QUICK & REILLY, INC.
Executive Vice President (1999 – 2005)
Senior Vice President (1996 – 1999)
Vice President (1987 – 1996)
Member of executive team for firm’s Quick & Reilly retail brokerage unit, responsible for managing growth
initiatives, P&L, operations, regulatory compliance, customer and employee retention programs, and business
partner relationships. Functioned as Chief Operating Officer for much of this 18-year period.
Partnered with unit CEO to develop, lead and implement initiative to transform a highly successful
discount brokerage operation to a full-service platform with a complete range of product offerings.
2. ROBERT L. BOTT Page 2 • RLB149@aol.com
Designed new business strategy to create more stable revenue base, in anticipation of post-tech
Redefined organizational structure to align with new strategy and create synergies with other
FleetBoston Financial business lines.
Engineered wholesale change in firm culture, product offerings, management ranks, and producing
brokers. Key initiatives included development of new compensation and pricing plans, call center
construction, and customer / employee training, communication and marketing programs.
Generated increased revenues and profitability, account base growth, higher share of wallet, and
greater customer loyalty.
Managed integration of broker/dealer operations and sales forces in connection with FleetBoston
Financial and Summit Financial acquisitions. Customer and employee retention rates exceeded plan.
Spearheaded and oversaw implementation of several major technology projects to improve customer
experience, usage and loyalty, and enhance operational efficiencies:
Deployed automated systems including CRM tools (in partnership with Siebel), online trading
platforms, touchtone telephone trading platform, and auto-checkwriting.
Converted paper-based branch network processes to fully-automated work flow system, resulting in
significant reduction in errors and losses.
Developed and implemented corporate training effort focused on customer service, sales, time
management, new product offerings, technology roll-outs, compliance, and regulatory supervision.
Increased front- and back-office performance / professionalism contributed to higher levels of customer
satisfaction and growth in revenues.
Established management training program for college graduates, attracting talent which provided key
foundation for firm’s corporate culture and growth. High success rate for program, as measured by
retention and numbers of participants moving into management ranks.
Executed nationwide retail network expansion plan to create local presence / awareness and increase
revenues. More than doubled number of offices over eight years from 51 to 120. Oversaw implementation
including identifying locations, securing space, hiring branch managers and key personnel, and ensuring
Directed successful business continuity efforts during 9-11, August 2003 blackout, and Y2K events.
QUICK & REILLY, INC.
Trading/Operations Associate (1980 – 1987)
Progressed through a variety of roles beginning with the predecessor to U.S. Clearing Corp, leading to
increasing responsibilities in the retail division reporting to the President of Quick & Reilly, Inc.
EDUCATION and PROFESSIONAL CERTIFICATIONS
BS, St. John’s University, New York, 1979
Securities Industry Institute, The Wharton School, 1993
NYSE Disciplinary Hearing Board – NYSE and NASD Arbitration Panelist