Highlights:
Professional Experience
5/3 Bank/Securities
Investment Representative / Relationship Manager
February 2006 to Current
? Actively participate in the telemarketing process within the financial center, utilizing the marketing resources
? Meet with clients to discuss financial needs, emphasizing financial counseling, lending and make recommendations
? Meet or exceed sales goals for loans, deposits, investments and other fee income, as set by management
? Initiate sales and cross sell full range of banking services to present and potential customers and build a referral network to ensure stream of new business prospects
Smith Barney
Registered Associate April 2005 to January 2006
? Screened telephone calls, direct client’s inquiries regarding securities quote, security transfers, account
- activities, balances, documentation, statement information, and general product information
? Provide client service support by responding to non-sales practice complaints, inquiries & discrepancies
? Research & initiate corrections to transactions,account errors, and solicited mortgages
? Processing new accounts, maintaining existing accounts, creating clients files, obtaining required
- documentation, enter unsolicited trade orders, wire transfers, and issuing checks
Merrill Lynch, Fenner & Pierce 1996 to 2005
Investment Associate 2003- 2005
? Monitor the team business & duties handled by the client associate
? Solicit residential mortgage loans and lines of credits, assist the client through the loan process from
- application to closing and if needed notary mortgage loan closer
? Cultivate referral network through client’s referrals
? Interview potential clients and completing the new account profile
? Complete the Financial Foundation & Accessing Your Goal’s questionnaire with clients and prospects
? Schedule client’s portfolio reviews
? Coordinate and schedule seminars for the financial advisor
? Notify clients when a security has matured or called; suggest replacement products
? Maintaining Required Minimum Distribution and Beneficiary Control IRA spreadsheets
Registered Client Associate 1998- 2003
? Establish & maintain working relationship with the Financial Advisors in support of their business
- objectives
? Proficient in the use of the branch office workstation & communication systems
? Generate clients’ portfolio review report
? Screened telephone calls, direct client’s inquiries regarding securities quote, security transfers, account
- activities, balances, documentation, statement information, and general product information
? Provide client service support by responding to non-sales practice complaints, inquiries & discrepancies
? Research & initiate corrections to transactions and/or account errors
? Processing new accounts, maintaining existing accounts, creating clients files, obtaining required
- documentation, enter unsolicited trade orders, wire transfers, and issuing checks
Secretary Assistant to Administration & Operation Manager 1997 – 1998
? Full administrative functions for the office personnel in support of the activities of
- the branch, preparation of reports for compliance procedure and review various documents,
- maintenance of client account and assistance the managers as needed
Receptionist August 1996 - 1997
? Screened telephone calls and attempt to resolve or direct caller’s inquiries
Companies I like:
Calamos Investment, Pepsi, Merrill Lynch and other organization
Description
