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Financial Advisor Trainee Resume Example

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FINANCIAL ADVISOR TRAINEE
Overview

Dynamic financial services professional with a diverse industry background and exceptional service skills. I excel at building strong relationships, am detail oriented, and driven. It is my goal to uncover, understand, and provide for the financial services needs of the community. 

Professional Certifications
  • FINRA Series 7 License
  • NASAA Series 66 License

 

  • Life, Accident & Health Producer License
  • Variable Life & Variable Annuity License
Professional Experience
Raymond JamesJuly 2012 to November 2012Financial Advisor Trainee
Buffalo , NY
  • Completed all licensing and certification requirements.
  • Made face-to-face contacts with prospective clients developing trust and uncovering investable assets.
  • Completed market analysis and research.
  • Time blocked daily activities for best efficiency.
  • Ongoing correspondence with prospective clients.
  • Completed compliance training requirements.
Edward JonesSeptember 2011 to July 2012Senior Branch Office Administraton
City , STATE
  • Responsible for daily office administration, client service, account processing, business development, and self development.
  • Maintained accurate records and up-to-date literature in accordance with audit and regulatory guidelines.
  • Helped to build and maintain quality relationships with clients.
  • Provided timely responses to client inquiries.
  • Scheduled and confirmed client appointments.
  • Processed deposits and account transactions.
  • Completed outgoing client correspondence and direct mail marketing programs.
  • Completed account/product applications and paperwork (on-line and via paper) as allowed by industry regulations.
  • Responsible for updating prospect and client data records.
  • Assisted with planning seminars and office open houses.
  • Prepared a variety of reports for client appointments.
Edward JonesDecember 2007 to September 2011Regional Sr. Branch Office Administrator
City , STATE
  • Responsible for supporting the Regional Leader and Region with administration, coordinating communication, and meeting/event planning.
  • Supported the regions understanding of new systems, processes, and procedures.
  • Defined and helped to implement best practices for time management, business development, client service excellence and branch team effectiveness.
  • Responsible for all aspects of daily office administration, client service, account processing, business development, and self development.
Central Community CollegeAugust 2005 to May 2008Computer Training Instructor
City , STATE
  • Conducted evening and weekend computer training classes for area businesses and the general community.
  • Classes were comprised of 6-15 students including introductory, intermediate and advanced skill levels.
  • Curriculum included all Microsoft Office applications, Windows XP, QuickBooks, and Photoshop.
  • Responsible for student skill evaluation and grading.
The Principal Financial GroupApril 1999 to November 2007Individual Investment Specialist II
City , STATE

Principal Annuity Products 

  • Supported customers as well as internal and external registered representatives with all aspects of annuity products from pre-sale through annuitization.
  • Assisted with form completion, financial transactions, tax regulation, annuitization illustrations, and general contract information.

Principal Mutual Funds 

  • Serviced qualified and non-qualified mutual fund accounts including individual investment products and employer sponsored plans.
  • Assisted shareholders and registered representatives with all aspects of accounts including tax regulation, financial transactions, and compliance.
  • Provided training to investment specialists who were added to the mutual funds service team in the Grand Island Office.
  • Recipient of Pride of Princor Award for service excellence.

Principal Pension Products 

  • Assisted retirement plan participants and plan sponsors with qualified and non-qualified pension contracts.
  • Educated customers in regard to plan guidelines, investment products, and tax regulations.
  • Mentored newly-hired investment specialists.
SITEL CorpSeptember 1995 to April 1999PM Supervisor/PM & Saturday Shift Manager
City , STATE

PM Supervisor 

  • Supervised team of telemarketing sales specialists in an outbound call facility.
  • Responsible for all aspects of operation including general supervision, education, performance evaluation, and disciplinary action.
  • Duties also included the completion of nightly team production reports used to evaluate service and efficiency levels.

Shift Manager 

  • Responsible for the operation of varying evening shifts, and the regular Saturday shift of the call facility.
  • Duties included the supervision of my regular team of representatives as well as all other specialists and supervisors in the sales center.
  • Also responsible for the evaluation of available call leads with regard to scheduled staff; training on and implementation of new sales programs; resolution of technical system issues; and completion of facility end-of-day production reports for evaluation by case managers and clients.
Education
Bellevue UniversityMarch '04B.S: Business AdministrationCity, State

Deans List Honors 

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Resumes, and other information uploaded or provided by the user, are considered User Content governed by our Terms & Conditions. As such, it is not owned by us, and it is the user who retains ownership over such content.

How this resume score could be improved?

Many factors go into creating a strong resume. Here are a few tweaks that could improve the score of this resume:

75Average
Resume Strength
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  • Word choice
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  • Strong summary
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Resume Overview

School Attended

  • Bellevue University

Job Titles Held:

  • Financial Advisor Trainee
  • Senior Branch Office Administraton
  • Regional Sr. Branch Office Administrator
  • Computer Training Instructor
  • Individual Investment Specialist II
  • PM Supervisor/PM & Saturday Shift Manager

Degrees

  • B.S : Business Administration

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