Description
Qualifications: * Self- motivated and experienced Financial Representative with a proven track record supervising policies, procedures and risk regulations mandated by the SEC, FINRA and financial investment firm. * Solve complex customer issues and educate the customer on the firm's policy with respect to SEC and FINRA regulations. * Mitigate risk for the investment firm and customer to protect both from fraud.
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Work Experience
COMPANY | POSITION HELD | DATES WORKED |
---|---|---|
Fidelity Investments | Financial Representative Customer Service Representative | 1/2001 - 6/2017 |
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Accomplishments
Highlights:
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Keywords
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