Financial support professional who leverages exceptional communication skills to build quality relationships with clients, financial advisors and upper management.
25+ years experience in supporting financial professionals in most areas of financial services industry including Compliance, Operations, Trade Support and Registered Sales assistance.
Series 7, 63, 9, 10
Good Communication skills
Many years experience in most areas of brokerage industry
Good at Multi-tasking
As a Qualified Supervisor performed transaction approvals over all money movement: journals, checks, wire transfers, IRA distributions at hub. (Seven Branches)
Approved and monitored Order Errors and Trade Corrections. Maintained monthly Trade Error spreadsheet to monitor trends.
Cover multiple other jobs within the hub.
Held multiple positions in the 12 years I was with City Securities Corporation.
Began as Registered Sales Assistant and Assistant to Retail Sales Manager.
Acquired Series 24 and was Compliance Associate for 18 months beginning in late 2001. Worked on mutual fund break-point project, emergency off-site data storage project, monitored daily trading activity.
Spent the last 8 years in Operations where I approved money movement, processing of trusts & estates, 529 plans. Implemented new annuity processing and software. Provided backup to the Trade Desk.
Started as a bank teller for Union Federal Savings Bank.
Moved to investment department called Union Securities Corporation as a Sales assistant. Became registered with Series 7 and 63 and life insurance license in 1991.
Performed sales and clerical support to 6 brokers. Mostly mutual fund and fixed annuities business.
Companies Worked For:
Job Titles Held: