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Client Advisor Resume Example

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CLIENT ADVISOR
Summary
An experienced financial advisor who has been successfully providing advise and strategies to high net worth clients and small business owners. Possessing in depth knowledge on financial planning strategies, marketing practices and client relationship development. Having excellent interpersonal skills and also a strong team player, with a proven record of high achievement. Last but not least, a strong passion for people and the financial market.
Highlights
  • Monte Carlo Analysis 
  • Comprehensive financial planning
  • Portfolio Management
  • Risk Assessment
  • Financial Position Analysis
  • Retirement Planning
  • Communication and Coaching
  • Microsoft Office and SalesForce
Experience
Client Advisor, 06/2015 － CurrentMercer Advisors － San Francisco, CA
  • Function as the primary trusted advisor to the firm's high net worth (HNW) clients and manage client assets over $30,000,000.
  • Ensure retention of the firm's clients as well as generating referrals.
  • Partner with Regional Vice Presidents as a subject matter expert in the areas of investments, tax planning, pension planning, estate planning, insurance, retirement planning and general financial planning.
  • Provide cutting edge financial planning, tax, estate, and investment advice to HNW clients.
  • Analyze, draft, edit, and deliver comprehensive financial plans to clients.
  • Manage client communications and follow-up with clients' other advisors Demonstrate investment strategies and the firm's investing premiums clearly to clients.
  • Participate in company seminars and Lunch and Learns designed to educate potential clients and referral partners.
Sr. Manager, 11/2013 － 05/2015AXA Advisors － San Mateo, CA
  • Actively lead and participate in the project development of building a new AXA office.
  • Effectively manage all staff workflow and operations including but not limited to: new business development, technology support, facilities, marketing/client relations programs and all associated administrative/clerical functions.
  • Review and monitor P&L on a monthly basis to ensure revenue goals are met.
  • Develop, implement and oversee efficient procedures throughout the Branch.
  • Partner with the Branch Manager and intervenes where appropriate to mitigate risk and heighten efficiencies on various issues affecting the branch production.
  • Manages resources and budget and deploys appropriately.
  • Monitor Sales Managers and Sales Agents' activities, including where applicable, large case support, new business liaison and special case elevation for timely commission payouts.
  • Facilitate branch meetings, inter-office communications, and all company related functions.
  • Acts as liaison and critical link with the headquarters in administration, communication, production goals, staffing, finance and compliance issues.
Sr. Manager, 04/2013 － 10/2013AXA Advisors － San Mateo, CA
  • Supervise daily business activities of the advisors and staffs reporting to the OSJ branch.
  • Effectuate and maintain the Branch's (Primary OSJ) books and records requirements.
  • Review and approve security transactions to ensure suitability standards are followed.
  • Review document integrity concerns and questionable patterns of replacement activity.
  • Review and approve all branch level advertisements.
  • Manage verbal and written customer complaints.
  • Perform supervisory review of all incoming and outgoing written/electronic correspondence.
  • Perform Annual Compliance Interview for all advisors and a detail review of all client files.
  • Conduct and manage the completion of everyone's Compliance Meetings and Firm Element Training courses.
Financial Advisor and Branch Principal, 07/2010 － 04/2013Raymond James Financial Services － San Francisco, CA
  • Develop comprehensive financial plans for high net worth clients to achieve financial goals and identify opportunities.
  • Provide strategic wealth solutions by utilizing life insurance, variable annuities, long-term care policies, equity investments, fixed income investments, open and closed-end mutual funds, unit investment trust, and exchange traded funds.
  • Advise and educate clients on tax planning and estate planning strategies.
  • Meeting with clients regularly to evaluate investment's performance towards achieving financial goals.
  • Monitor all communications between clients and other financial advisors to assure all communications stayed within the approved compliance guidelines.
  • Oversee all advertisements, newsletters, and solicitation correspondence before publication.
  • Review and approve equity and insurance related trades submitted by other financial advisors in the branch.
  • Work closely with all advisors in the branch to ensure production goals are met.
  • Monitor the validity of the financial advisors' licenses, state registrations, and continuing education requirements.
Registered Client Associate, 01/2008 － 07/2010Wells Fargo Advisors － San Francisco, CA
  • Provide sales support to a team of financial advisors by entering equity, mutual fund, and fixed income orders.
  • Research and analyze financial reports on individual stocks, mutual funds, and exchange traded funds.
  • Assist on marketing campaigns, client meetings, account assessment planning based on individual client needs, and maintaining strong client relationships.
  • Serve as a liaison between the Financial Advisors, Branch managers, and the Operation staff to ensure that daily operations meet all the compliance guidelines and requirements.
  • Perform various administrative functions, which contains but not limited to: record meeting minutes, maintain record filings, establish new accounts, facilitate transfer of external assets, and processed both internal and external asset movements.
Financial Service Representative, 09/2007 － 01/2008MetLife Wealth Strategies Group － San Jose, CA
  • Provide financial services to clients in financial positioning, investment planning, tax planning, estate planning, wealth accumulation, and risk management.
  • Expand and strengthen existing client relationships and develop suitable recommendations.
  • Explore new market segments and established new client relationships.
Education
June 2007University of California － RiversideBachelor of ScienceBusiness Administration FinanceBusiness Administration, Finance
Certified Financial Planner Certification since 2012 Series 7, 66, 24, 53 CA Insurance License # 0F76271 Affiliations: Delta Sigma Pi, Professional Business Fraternity, Riverside, CA
Languages
Fluent in English, Cantonese, and Mandarin Chinese.
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Resume Overview

Companies Worked For:

  • Mercer Advisors
  • AXA Advisors
  • Raymond James Financial Services
  • Wells Fargo Advisors
  • MetLife Wealth Strategies Group

School Attended

  • University of California

Job Titles Held:

  • Client Advisor
  • Sr. Manager
  • Financial Advisor and Branch Principal
  • Registered Client Associate
  • Financial Service Representative

Degrees

  • Bachelor of Science Business Administration Finance
    Certified Financial Planner Certification since 2012 Series 7, 66, 24, 53 CA Insurance License # 0F76271 Affiliations: Delta Sigma Pi, Professional Business Fraternity, Riverside, CA

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