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JANNEY MONTGOMERY SCOTT LLC - Registered Sales Assistant Resume Example

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REGISTERED SALES ASSISTANT
Professional Summary
Motivated professional, holding an M.B.A. with a specialization in Environmental Management and a unique background combining non-profit and business experience. Skilled in all aspects of running a non-profit, with expertise in advocacy, community outreach, fundraising, day-to-day office management and event planning. Strengths include: strong computer skills, highly organized team player, program supervision and strong interpersonal and communication skills focused on cultivating relationships.
Licenses
Formally held NASD Series 7 and Series 63 Registered Sales Assistant
Skill Highlights

COMPUTER SKILLS / PROFESSIONAL LICENSES: Microsoft Word, Excel, PowerPoint, Access, Outlook Formally held NASD Series 7 and Series 63

Professional Experience
01/2002 to 01/2004
Registered Sales Assistant JANNEY MONTGOMERY SCOTT LLC － Boston, MA Boston, MA 2002-2004 A full-service financial services firm, providing comprehensive financial advice and superior service to individual, corporate and institutional investors. Registered Sales Assistant Provided support for five Investment Representatives. Managed the day-to-day operations of their businesses allowing them to focus on meeting new clients and generating new business. ♦ Established and nurtured relationships with clients, through phone, email and personal meetings. ♦ Successfully orchestrated the mass transfer of client assets into Janney Montgomery Scott for a newly hired Investment Representative's entire book of business. ♦ Handled all client questions and requests including opening new accounts, providing tax information and providing research on various investments. ♦ Executed complex security transactions, based on each client's individual investment plan, utilizing stocks, bonds, mutual funds and options.
01/2001 to 01/2002
Assistant to the Director PHILADELPHIA PARKS ALLIANCE － Philadelphia, PA Philadelphia, PA 2001-2002 A small non-profit with a staff of three and a budget of $200,000, working to improve Philadelphia's parks by building coalitions of park supporters, advocating on behalf of the parks and educating the public. Assistant to the Director Supported the Executive Director in all aspects of managing a non-profit including day-to-day office management, database and web-site maintenance, public relations, community organizing, strategic planning, fund-raising, grant writing, representing and speaking on behalf of the organization, responding to inquiries and event planning. ♦ Maintained, corrected and updated the organization's website and constituent database. ♦ Collaborated with five other prominent park organizations in developing a regional park website. ♦ Planned and orchestrated successful conferences, meetings, rallies and fund raising events ranging from 30-170 people. ♦ Mobilized over 150 people, representing more than fifty community groups, to City Hall Chambers for a special park hearing. ♦ Wrote grants including a successful $75,000 grant from the William Penn Foundation. ♦ Organized a successful fundraising campaign raising $95,000. ♦ Collaborated with a volunteer to establish a web-page on Hallwatch.org where citizens could quickly type one letter on-line and have it faxed to all relevant elected officials, resulting in over 200 letters written during the organization's letter writing campaigns. ♦ Created a media information booklet listing all press information, wrote press releases, made press packets and contacted media resulting in press coverage on numerous occasions for the organization, their events and park issues. ♦ Arranged, attended and took minutes at public policy committee, advocacy committee and board meetings. ♦ Created an official 'how-to' manual to facilitate the training of new staff.
01/1993 to 01/2001
Senior Wire Room Operator DEUTSCHE BANK SECURITIES INC － Philadelphia Boston, PA MA A subdivision of Deutsche Bank, AG, one of the world's largest financial institutions. Provides a comprehensive range of advisory, financial, research, risk management and investment services to corporate and private clients. Boston, MA 1996-2000 1996-2001 Supported Investment Representatives in all aspects of running their business. Maintained client relationships and supervised the daily progress of client accounts with assets totaling over $1 billion. ♦ Executed security transactions for clients including stocks, bonds, options and mutual funds orders. ♦ Responsible for handling large security orders for institutional and individual clients. ♦ Established and administered corporate stock option plans for various companies including Nortel Networks, ADE Corporation, Bright Horizons, Inc., Sipex Corporation, Exchange Applications, Staples Inc., and IHOP. ♦ Involved in the initial public offering of NetScout Systems, Inc., Exchange Applications, Boston Communications Group, Inc., and Bright Horizons, Inc. ♦ Coordinated the activities of our client's corporation, legal counsel and Deutsche Bank's legal transfer department to ensure the accurate and timely execution of restricted security transactions for officers and directors of companies. ♦ Provided investment recommendations for employees of 401(K) plans under our advisement. ♦ Developed a system to improve the efficiency of allocating employee contributions to individual corporate retirement accounts. Transmitted live equity and option orders, processed mutual fund, bond and syndicate tickets, handled all trade discrepancies and errors, processed new accounts and trained new wire operators for both the retail and institutional divisions of Deutsche Bank.
01/1992 to 01/1993
Resident Counselor HERITAGE CHRISTIAN HOME － Webster, NY Webster, NY 1992-1993 Human service agency serving over 800 adults and children with developmental disabilities. Resident Counselor ♦ Provided consistent program of active treatment for developmentally disabled adults, assuring that all residents' emotional, spiritual and physical needs were met. ♦ Implemented resident goals and behavior programs, administered medications and performed all shift duties. ♦ Assumed shift supervisor role as needed, managing a staff of five employees.
Education and Training
M.B.A.: Specialization, Environmental Management University of Massachusetts － Boston, MA, US M.B.A., University of Massachusetts, Boston, December 1999 - Specialization: Environmental Management
B.A.: Psychology, Sociology State University of New York at Geneseo － Geneseo, New York, US B.A., Psychology, State University of New York at Geneseo, May 1992 - Minor: Sociology
Accomplishments
Collaborated with a volunteer to establish a web-page on Hallwatch.org where citizens could quickly type one letter on-line and have it faxed to all relevant elected officials, resulting in over 200 letters written during the organization's letter writing campaigns
Professional Affiliations
PHILADELPHIA PARKS ALLIANCE, Philadelphia, PA
Presentations
Planned and orchestrated successful conferences, meetings, rallies and fund raising events ranging from 30-170 people
Skills
Clients, Risk Management, Trading, New Accounts, Mutual Funds, Security, Accounts And, Mutual Fund, Retail, Retail Marketing, Financial Services, Operations, Registered Sales, Sales, Sales Assistant, Budget, Database, Educating, Event Planning, Fundraising, Maintenance, Office Management, Public Policy, Public Relations, Strategic Planning, Training, Accounts With, Associate, Exchange, Initial Public Offering, Ipo, Legal Counsel, Netscout, Nortel, Progress, Access, Community Outreach, Excel, Highly Organized, Microsoft Word, Nasd, Nasd Series, Nasd Series 7, Outlook, Powerpoint, Proposal Writing, Secretary, Series 6, Series 7, Team Player, Very Organized, Word, Environmental Management
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Resume Overview

Companies Worked For:

  • JANNEY MONTGOMERY SCOTT LLC
  • PHILADELPHIA PARKS ALLIANCE
  • DEUTSCHE BANK SECURITIES INC
  • HERITAGE CHRISTIAN HOME

School Attended

  • University of Massachusetts
  • State University of New York at Geneseo

Job Titles Held:

  • Registered Sales Assistant
  • Assistant to the Director
  • Senior Wire Room Operator
  • Resident Counselor

Degrees

  • M.B.A. : Specialization, Environmental Management
    B.A. : Psychology, Sociology

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