Experience

Aegis Financial

• United States
• Financial Services
• 1 - 100 Employee

• Wealth Manager

  • Sep 2019 - Present

• Client Service Associate II

  • Oct 2018 - Sep 2019

  At AEGIS Financial my main responsibilities include the following: • I serve as the initial point of contact for the clients I serve.• I participate in client meetings - reviewing beneficiaries, assisting with technology, and addressing any client concerns.• I educate clients on the on-line tools and resources available to them.• I process all required paperwork to create, maintain and service accounts.• I anticipate client needs, solve problems, and follow through with exceptional service.• I ensure compliance with FINRA and SEC rules.• I help with special projects to contribute to the firm’s development.• I successfully adapt to our ever-changing environment.• I hold my Series 6, 7, 63 and Series 24 licenses.Securities offered through Raymond James Financial Services, Inc. Member FINRA / SIPC. Investment advisory services offered through Raymond James Financial Services Advisors, Inc. Aegis Financial is not a registered broker/dealer and is independent of Raymond James Financial Services, Inc..Aegis Financial is not a registered broker/dealer, and is independent of Raymond James Financial Services. Securities are offered through Raymond James Financial Services, Inc. Member FINRA/SIPC. Investment Advisory Services are offered through Raymond James Financial Services Advisors, Inc.. Show less



National Planning Holdings (NPH)

• United States
• Financial Services
• 1 - 100 Employee

• Product Maintenance Manager

  • Sep 2014 - Jul 2018

  2014 – 2018PRODUCT MAINTENANCE MANAGER, NATIONAL PLANNING HOLDINGS• Acted as product expert for Operations, Commissions, and Sales Supervision departments• Directed day-to-day activities of Product Maintenance team including coordinated workflow, monitored work product, and performed functional work of the team as necessary to meet business objectives • Resolved escalated or unusual issues related to product inquiries, and product availability• Collaborated with Due Diligence, Compliance, and Product Sponsor Relations teams to ensure accuracy of product database• Supervised department personnel including hiring, training and development, performance review, and discipline processes• Established and maintained relationships with product sponsors, field marketing organizations (FMOs), and third-party data vendors Show less

• Product Maintenance Supervisor

  • Oct 2012 - Sep 2014

  • Entered, updated, and audited relational product database to ensure current, accurate, and approved product information supporting Electronic Order Entry, commissions processing, and financial reporting, and accounting• Researched selling agreements and entered holds on unapproved products• Provided exceptional customer service in responding to advisor product inquiries• Researched and resolved product related commissions issues• Assisted Product Maintenance manager with training of new associates Show less



SII Investments

• United States
• Financial Services
• 1 - 100 Employee

• Sr. Brokerage Services Associate

  • Jun 2011 - Oct 2012

  • Assisted Brokerage Services manager with training and mentoring of new associates• Performed more complex brokerage services responsibilities including researching margin account notifications, alternative investment purchases, and escalated advisor inquiries• Reviewed and updated department procedures• Continued to perform all duties of brokerage services representative at an exceptional level

• Brokerage Services Representative

  • Jul 2007 - Jun 2011

  • Provided exceptional customer service to advisors, advisor staff, and account holders via telephone calls, email, and written correspondence• Research and answer trading related questions from internal and external customers• Placed equity, mutual fund, option and fixed income trades for clients and reviewed and approved trades entered by advisor offices• Reviewed check, wire, journal and EFT disbursements from brokerage accounts to ensure validity and accuracy of instructions and mitigate risk• Processed trade corrections, working with advisors, clearing firms and fund sponsors to change price, quantity, trade date, account type, commission and ticket charges as needed and document for tracking and billing purposes• Processed physical certificates, dividend elections, voluntary corporate actions, and retirement account contributions and distributions Show less