Diligent and experienced Associate Financial Advisor who has achieved success in a variety of roles with increasing levels of responsibility. An effective communicator operating with team members at all levels to meet and exceed organizational goals and client expectations. Excels in areas in which relationship building is the key to success.
Continued all of the duties listed under Senior Registered Sales Assistant (see below).
Responsible for trade entry per client requests, including options orders.
Diligently provided research upon request to extremely large investors in high pressure situations where time was the key to a successful trade.
Worked with the Equity Trading Desk and the Options Trading Desk to execute large equity orders.
Assisted a Senior Vice President and a Junior Financial Advisor with all operational and client service issues.
Played key role in prospecting new clients through marketing via seminars and a monthly newsletter.
Coordinated customer seminars, including developing relationships with vendors, tracking customer attendance and post-seminar follow-up.
Managed desktop publishing and proposal and memo typing.
Created and maintained computer- and paper-based filing and organization systems for records, reports and documents.
Investigated issues and problems and drafted responses to urgent requests.
Open, read, and wrote answers to routine letters.
Assisted two First Vice Presidents with all customer service related issues while nurturing client relationships.
Responsible for ensuring all trades/order entry items were executed accurately and in a punctual manner.
Communicated regularly with all areas of back office staff to recognize, troubleshoot, and resolve any problems arising with client accounts or trades.
Continually excelled when given increased responsibilities, including time-sensitive trading for high-net worth clients.
Acted as a mentor for other Sales Assistants at all levels and inspired them to take on more responsibilities.
Trained my replacement for 2 weeks before leaving employment at Morgan Stanley.
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