Client Service Associate

• Apr 2018 - Present

Investment Specialist Assistant

• Jul 2016 - Present

• In charge of daily broker dealer operations, client service and complex support for agency. • Organized and present monthly Skype meetings covering topics relevant to efficiently processing business. • Responsible for identifying and anticipating client, financial advisor and complex needs. • Liaison between financial advisors and operations staff and help identify items that need escalation. • Problem solving, research and fielding questions for service related inquires. • Firm Readiness Department of Labor Operations Lead. • Point person for Broker Dealer Integration. • In charge of scheduling Wholesaler events. Show less

Client Experience Administrator

• May 2015 - Jul 2016

• Led Firm through Broker Dealer conversion from Pershing Platform to NFS Platform. • In charge of daily broker dealer operations, client service and complex support for agency. • Responsible for identifying and anticipating client, financial advisor and complex needs. • Liaison between financial advisors and operations staff and help identify items that need escalation. • Problem solving, research and fielding questions for service related inquires. • Led Firm through Broker Dealer conversion from Pershing Platform to NFS Platform. • In charge of daily broker dealer operations, client service and complex support for agency. • Responsible for identifying and anticipating client, financial advisor and complex needs. • Liaison between financial advisors and operations staff and help identify items that need escalation. • Problem solving, research and fielding questions for service related inquires.

Registered Sales Assistant

• Nov 1998 - May 2015

• Provided support to high volume broker with all aspects of client/broker relations. • Compile and process all paperwork for clients. • Led the initiative for transitioning office from paper files to imaged files. • Manage and maintain office calendar, answer phones and help clients with brokerage and banking needs. • Direct marketing mailings and process mail. • Provided support to high volume broker with all aspects of client/broker relations. • Compile and process all paperwork for clients. • Led the initiative for transitioning office from paper files to imaged files. • Manage and maintain office calendar, answer phones and help clients with brokerage and banking needs. • Direct marketing mailings and process mail.