Spearheaded responsibilities with primary focus on maintaining entire back office and client services portion of operations. Completed client in-take process, created accounts and managed account transfers; prepared client investment account rate of returns and searched risk tolerances; assisted with client needs including money movement, transfers 401k rollovers, allocation of portfolio documentation, general inquires and requests; executed client review process, including updates of asset allocation statements and file preparation; researched investment vehicles and placed trades; established and linked E-Money accounts.
• Assisted with mutual funds offered by American Funds; ETFs by iShares; fixed indexed annuities through Security Benefit and American Equity; variable annuities through Midland and North American
• Served as primary point of contact for compliance focused on securing approval of seminars and websites as well as resolution of account related issues.
• Assisted with increase in new clients through preparation and execution of financial seminars; additionally, placed invitation calls and prepared PowerPoint slides for presentation during seminar.
• Enabled junior advisor to increase face time with clients as well as freed up time of owner/lead advisor by assuming account preparation, documentation and maintenance responsibilities.
• Demonstrated strong knowledge of position responsibilities as well as overall understanding of financial industry and regularly requested by clients as primary contact for information on portfolios and accounts.
• Demonstrated persistence as existing firms presented challenges to moving new client asset; i.e. went through several layers and resolved issues bring on extremely large client with significant Jackson annuity of which firm was owner and client was annuitant.
- Financial Advisor Assistant at Eischen Financial Group
5 years, 8 months at this Job
- Bachelor of Science - Consumer and Family Financial Services • Specialization: Certified Financial Planner
• Built research portfolios, prepared reallocations for her clients, and attended client meetings
• Received return offer for the summer
• Boss/Reference - Tamara Kukainis (856) 905 3649
- Financial Advisor Assistant at Schwartz Financial Cetera Advisor Networks
- Marketing Intern at Schwartz Financial Cetera Advisor Networks
5 months at this Job
- A.B. in Economics Department - Economics
Job tasks - Answering phones and directing clients in whom they need to talk to about their financial needs - Guiding clients through all questions they might have and providing them with the necessary paperwork - In charge of maintaining a structured system to keep track of all in coming and out going mail and the processing of checks - Provides excellent communication skills in making the necessary phone calls to other branches or major companies - Maintain a clean and organized schedule of meetings for the Advisor
- Financial Advisor Assistant at Financial Advisory Colleague, United Planners
- Customer Service at Vintage Galleria
- Cashier at Shakey's Pizza
- Administrative Assistant, LAUSD at Los Angeles School District
2 years, 11 months at this Job
- High school
- Currently supporting 7 Financial Advisors-Inputting loans, new accounts, customer service, administrative/clerical duties, correspondence
- Financial Advisor Assistant at Pinnacle Financial Partners
- Manager of Client Services Support at CapitalMark Bank & Trust
- Financial Service Representative at Northwest Georgia Bank
3 years at this Job
* Responsible for completing client account transfer forms by following corporate policies and client wishes. * Responsible for entering transactions and completing taxes through QuickBooks to reconcile complete accounting records. * Greeted and sat in on client meetings with an advisor from Raymond James to learn about client relations. * Held meetings with distributors from American Funds and Lord Abbott to discuss new mutual funds to learn about potential investing options for clients.
- Financial Advisor Assistant at Raymond James Financial Services Inc
- Tutor at Asap Tutors
- Sales Associate at Adidas
2 years, 1 month at this Job
- Bachelor's - Quantitive Finance and Accounting
· Prepared financial Analysis using financial statements, rated clients’ risk-preferences using internal risk rating model, and proposed financial planning that meets clients’ financial needs · Monitored portfolio performance (ongoing investments) using annuity/life monthly product performance reports, reported and communicated findings with financial advisor, and changed asset allocation accordingly to mitigate risk within the portfolio · Coordinated with compliance and operational departments in the local office and national office to ensure completeness, accuracy and compliance, executed business development plans of financial services and products successfully, and processed the execution and follow-up of security trading activities upon client request and approval before deadlines · Managed over 500 clients’ personal and family investment management, insurance, business planning, and benefits opportunities information using Asset-Map and Salesforce.com
- Financial Advisor Assistant at AXA Advisors, LLC
- Project Assistant at Indexes of Financial Performance and Financial Mobility
- at DML Commands
- Data Analyst at Meishen E-commerce Company
9 months at this Job
- M.S - Financial Engineering and Risk Management
- B.S - Economics
Data entry on the back office in CRM, responding to emails, scheduling appointments, ordering supplies, mailing and faxing paperwork and attening luncheon with agents to help with whatever they may need.
- Financial Advisor Assistant at Appreciation Financial
- Sales Associate at The UPS Store
- Sales Associate at The UPS Store
- Administrative Assistant at Sekumade Law Firm
10 months at this Job
- - Communication of Art
• Assisted in the scheduling of client appointments.
• Managed all compliance issues in regards to filing/paperwork.
• Maintained reports and spreadsheets to assist Financial Advisor team.
- Financial Advisor Assistant at Waddell & Reed
- Administrative Assistant- Compliance at Indymac Bank
- Commercial Sales Administrative Assistant at CompUSA
2 years at this Job
- Associates Degree in Computer Networking Technology - Computer Networking Technology
- Research available insurance and fixed annuity programs to fit into financial plans - Explain and document for clients the types of products - Assist in obtaining prospect information and prepare forms or agreements to complete sales - Manage and enhance client relationships through processing timely service requests - Provide operations support for Financial Advisor by opening client accounts, conducting asset transfers, processing distributions from both taxable and retirement accounts and fulfilling cashiering responsibilities - Answer questions regarding to various investment programs, such as Annuity and Life Insurance
- Financial Advisor Assistant at Cathay Bank
- Cashier and Customer Service at Fantasia Coffee & Tea
3 years at this Job
- Bachelor's - Accounting
- - Accounting
Excelled in role requiring the ability to handle a variety of customer service and resolve customer issues with expediency. checked in new merchandise, made sure store goals are being met, assigned schedule for associate shifts, worked hand in hand with financial Advisor for payroll, audits, filing, and store needs.
- Store Manager/ Financial Advisor Assistant at Lindhurst High School, Student Store
- Sales Service Representative at Rue21
3 years, 10 months at this Job
- Bachelor's - CTVA