Registered Representative Resume
Objective : Financial experience within the banking industry and financial planning/wealth management sector. Highly skilled in uncovering data and analyzing in multiple formats. Leading financial projects, appointing them to appropriate eco-partners and following the projects full lifecycle. Expert in strengthening relationships across departments through articulate communication and clarity with customers in diversified levels of business.
Skills : Customer Relations.
- Ensure new clients go through the KYC approval process and subaccounts are approved and created in the appropriate region.
- Reduce counterparty risk by identifying and validating clients, as well as orchestrating client onboarding process as necessary.
- Understand any new regulatory changes, communicate requirements accordingly and implement into daily processes.
- Client acquisition and retention based off of referrals and prospecting of high net-worth individuals and business owners.
- Development of several key financial goals for the client thru client session of discovery and focus on financial stability and growth.
- Integration and implementation of detailed spreadsheets highlighting short, medium and long-term goals for investment opportunities, risk analysis and monetary returns.
- Cross-selling life insurance, health insurance, investments and financial planning to clientele.
Registered Representative/Analyst Resume
Headline : Highly qualified Registered Representative with experience in the industry. Enjoy creative problem solving and getting exposure on multiple projects, and I would excel in the collaborative environment on which your company prides itself.
Skills : Asset Management, Business Development.
- Provided outstanding customer service while assisting with requests.
- Analyzed financial information obtained from clients to determine strategies for meeting clients' financial objectives.
- Recommended solutions within customer budgets and proactively followed up with all leads.
- Identified prospective customers using lead generating methods Helped clients in selecting important investment opportunities by assessing the short term and long term goals, maintaining a balance between assets and liabilities.
- Responded to customer inquiries a timely fashion and resolved any issues efficiently to ensure loyalty, referrals and business.
- Utilized superior communications skills to best serve clients and to develop effective working relationships with peers, executives and clients to the mutual benefit of all involved.
- Fostered important networking relationships with both clients and colleagues through leadership and responsibility.
Registered Representative III Resume
Summary : Motivated, young financial professional with a college degree and a successful six year track record of skills and knowledge acquisition as well as a successful career path switch upon completion of college education. Insatiable thirst for knowledge and a desire to be the best in every challenge that may arise. Strong ability to cultivate client relationships to further strengthen the bond between client and firm.
Skills : Business Analysis, Strategic Planning, Talent Management, Operations Management, Retail Management.
- Provide help and guidance to investors of all skill levels by explaining numerous complex trading and investing strategies in a manner that appeals to a range of investor experience.
- Strengthen and build relationships with current clients and new to firm clients by uncovering client needs Uncover new to firm assets from existing clients and new clients.
- Provide proactive client solutions to help clients with trading, retirement planning and tax situations.
- Deliver accurate securities information including ratings, technical analysis studies and charting.
- Accurately and efficiently submit a variety of trades including equities, mutual funds, options and certificates of deposit.
- Prepare daily team report that details the number of proactive client solutions delivered by each representative per day with respect to daily goals.
- Successfully completed Series 7 and 63 education and exams.
Bachelor Of Science
Registered Representative II Resume
Objective : Registered Representative, Financial Services Seattle/Bellevue, WA 2014 - Present Assist clients in achieving financial goals through effective, long term financial strategies.
Skills : Company Valuation; Customer Acquisition; Referral/Repeat Business Generation; Microsoft Office Programs, Excel, Word, PowerPoint; Complaint Resolution; Sales Reports & Correspondence; Statistical Package for Social Sciences, SPSS; Case study analysis; Typing; Scientific Research Analysis.
- Serviced 250+ clients in eight counties in Eastern Iowa on financial and insurance products and plans.
- Solved problems and answered questions tactfully with strong customer service skills.
- Facilitated monthly seminars to large and small groups on financial planning and debt management.
- Developed marketing strategies to enhance customer base through mailings, phone calling, referrals, walk and talks, educational workshops and seminars.
- Analyzed current investment portfolios and able to identify short-term and long-term client needs.
- Calculated and evaluated hypothetical illustrations on mutual fund performance and investment risk.
- Reviewed asset allocations, risk tolerance and objectives.
- Promoted and explained the need for life insurance, health insurance, LTC insurance to individuals.
Registered Representative I Resume
Objective : Highly qualified Registered Representative with experience in the industry. Enjoy creative problem solving and getting exposure on multiple projects, and I would excel in the collaborative environment on which your company prides itself.
Skills : Social Media Marketing, Photo and Film Production.
- Preparation for both retail and institutional client meetings including performance evaluations, initial portfolio recommendations and portfolio rebalancing.
- Place trades in both Charles Schwab and Pershing platforms.
- Handle all account openings, suitability documentation and account maintenance.
- Identify and solve problems, perform initial research and follow-up with individual participants and clients when issues arise.
- Interface with broker-dealers, CPAs, legal counsel, custodians, record keepers and actuaries.
- Interpret client information, investment performance reports, financial document summaries and income projections.
- Monitor and update institutional client's Investment Policy Statements.
- Production and/ or coordination of client mailings and general correspondence.
Bachelor Of Arts
Sr. Registered Representative Resume
Summary : Six year proven experienced professional in financial accounting, auditing and banking, Experienced in analysis of bank's financial statements, off-site and on-site inspection of banks, federal individual income tax preparation, federal corporate income tax preparation and project management skills, Proficient with Microsoft Office Suite, QuickBooks, PC Accounting, and Drake Tax Software, Reputation for accuracy and ability to work well under pressure, Financial planning, investment and life accident and health insurance ( licenses holder-Series 7, 66 and life, accident and health, life Variable Contract) I am interested in accounting position and financial service position.
Skills : Excel Proficient, Allergen Data, Specification Management, Food Components And Compliance, Pricing And Costing.
- Managed a portfolio of two hundred and fifty retail customers.
- Identified and cross-sold bank and securities products to each customer to expand the relationship with the bank.
- Met with high profile individuals as well as business owners for loans and general bank cross-sell opportunities.
- Kept an organized, efficient and productive schedule to manage households in a portfolio as well as servicing walk-in customers.
- Acted as a substitute for a branch manager in meetings, conference calls, and networking groups.
- Asked probing questions to determine the legitimacy of walk-in customers to avoid fraud and comply with Patriot Act requirements.
- Determined adequacy of fee reversals for overdrawn accounts.
BA In Political Science
Registered Representative Lead Resume
Summary : Working with insurance agents, RIA's and Broker dealers. Introduce marketing services,taking over asset management, adding other investment products, recruiting independent advisers and agents.
Skills : Recruiting, Financial Services, Consulting, Sales Training.
- Interview clients to determine clients' assets, liabilities, cash flow, insurance coverage, tax status, and financial objectives.
- Identify potential clients, using advertising campaigns, mailing lists, and personal contacts.
- Prepare documents needed to implement plans selected by clients.
- Review all securities transactions to ensure accuracy of information and conformance to governing agency regulations.
- Inform and advise concerned parties regarding fluctuations and securities transactions affecting plans or accounts.
- Contact prospective customers to determine customer needs, present information, and explain available services.
- Develop financial plans based on analysis of clients' financial status, and discuss financial options with clients.
Bachelor Of Science
Registered Representative/Consultant Resume
Summary : Demonstrating exceptional leadership skills presenting case designs, service and value over price. Proven revenue generator in all market conditions and demonstrating an ability to build a market and expand client base in existing territories.
Skills : Microsoft Word, Excel, PowerPoint, Outlook Express, Lotus Notes, Common Front End.
- Determined customer's financial service needs, preparing proposals to sell services that address their needs.
- Set strategy to meet the client's needs, providing annually follow-up and review of their position.
- Contacted prospective customers to present information and explain available services.
- Sold investment vehicles for retirement including life insurance, annuities, IRA's, mutual fund investments and 401K accounts.
- Led a team of account executives, delivering "best in class" service.
- Developed prospects from current commercial customers, cold calling, referring leads and sales or trade meetings.
- Delivered presentations on financial services to large corporations and diverse groups of individuals to attract new clients.
BS In Finance
Registered Representative/Supervisor Resume
Headline : Seeking a position where I can develop and excel while giving my best to an employer. Friendly, loyal and a dedicated individual who has an ambition to succeed in any given environment.
Skills : Word, Excel, Power point.
- Performed unsolicited stock and mutual fund trades daily.
- Prepared settlement of daily trades including receipts, disbursements, ACH, check, Fed Funds wire transfers.
- Performed initial client interviews and prepared new account applications.
- Performed quarterly client statement reviews.
- Assisted financial advisors with daily stock and mutual fund trades.
- Met with clients to review monthly portfolio statements.
- Interviewed candidates for financial advisor assistant positions and administrative assistant positions.
- Trained new hires on how to interpret client portfolios, taking information for financial advisors to do mutual fund trades, how to complete daily trading reconciliations and bank deposits.
Asst. Registered Representative Resume
Summary : Seeking a position in a sports organization where my knowledge will be heightened and my skills will be utilized to enhance my abilities through competitive, challenging, and passionate tasks by working in competitive environment in pursuit of a fulfilling career.
Skills : Excel.
- Greet patients, visitors and staff, in person or by phone and determine their needs and direct them to appropriate area or individual.
- Gather, review, and enter patient information into computer system.
- Assist in verifying private insurance, Medicare and Medicaid eligibility.
- Preregister patients for surgery and ensure pre admissions are ready for the next day.
- Assist patient accounts with collecting payments, and insurance and billing issues.
- Review admission packet with patients and collect consect for treatment.
- Assist with registering patients into the other departments such as Emergency Room.
- Operate multi switch board to relay incoming, outgoing, interoffice and interdepartmental calls.
Registered Representative/Agent Resume
Summary : Currently a self-employed Registered Financial Services Representative who coaches, guides, and empowers each client to optimum financial responsibility. An emphasis on holistic planning, focused on creating and improving client finances, has resulted in exceeding goals within a short period of time.
Skills : Microsoft Office, Microsoft Excel.
- Served as extended account consultant for domestic and international high-level retail clients.
- Assisted in growing team's business by delivering highly professional services including product and investment strategies and research information.
- Involved in conducting outbound business development campaigns.
- Identified and controlled risk exposure to company and clients.
- Received Chairman's Award recognition for three years.
- Award given to teams in top 20% in areas of productivity, business development and customer service.
- Advised over 100 clients daily on investment choices, risk management, account selection, investment and product education to assure customer satisfaction and retention.
Associate In Arts
Registered Representative Resume
Summary : Highly qualified Registered Representative with experience in the industry. Enjoy creative problem solving and getting exposure on multiple projects, and I would excel in the collaborative environment on which your company prides itself.
Skills : Series 7, Series 63, NJ Life Insurance Producer, NJ Accident & Health Insurance Producer.
- Maintained diversified portfolios for high net worth clientele.
- Restructured client portfolios to help maintain the most suitable risk-reward strategy on an individual basis.
- Directed sales strategies and trained new hires to successfully implement all initiatives and gather assets.
- Studied essential material to obtain Series 7 & Series 63.
- Set office record for opening first 50 accounts as a newly licensed broker, as well as most accounts in a month and a single day.
- Consistently one of the top three account openers in an office of 30+ brokers, averaging 6-8 accounts per month.
- Cold called prospective clients to comprehend their investment suitability and financial goals.
BA In Psychology