Ultra High Net Worth Investment Associate Resume Example
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ULTRA HIGH NET WORTH INVESTMENT ASSOCIATE
Summary
Financial Services professional with 16 years' experience in client services and 12 years' experience in financial planning support roles seeking the Wealth Management Client Relationship Consultant position.
Highlights
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Accomplishments
- Series 6, 7, and 63 Licenses.
- Completed all modules of the Certified Financial Planner (CFP) Program.
Experience
Ultra High Net Worth Investment Associate
January 2011 to CurrentUs Bank - El Cajon , CA
January 2011 to CurrentUs Bank - El Cajon , CA
- Partner with a Senior Financial Advisor to serve a book of business with $1 billion in assets under management.
- Manage book of business that serves Ultra High Net Worth families with personal assets in excess of $5 million.
- Implement financial plan recommendations for managed portfolios and execute transactions for Self-Managed accounts per client requests.
- Owner of the asset consolidation process - assist clients with paperwork, monitor for receipt of assets, and follow-up with other financial institutions as needed.
- Work with Financial Advisor to cross-sell Vanguard products and services to clients in the book of business.
- Primary point of contact for book of business with all problem resolution and client service needs.
Planning Support Specialist
January 2004 to January 2011Thrive Life - Provo , UT
January 2004 to January 2011Thrive Life - Provo , UT
- Assist financial counselors by completing technical tasks supporting plan production, delivery, and implementation.
- Ensure high-quality plan materials by focusing on attention to detail, providing accurate and thorough information, and demonstrating sound professional judgment and decision making.
Retirement Resource Center Communication Associate
January 2001 to January 2004Arrowstreet Capital - Boston , MA
January 2001 to January 2004Arrowstreet Capital - Boston , MA
- Provide premier retirement services to internal and external clients via telephone, e-mail, and written correspondence by serving as Subject Matter Expert in retirement planning topics such as IRA contributions and distributions, excess contributions, recharacterizations, Roth conversions, and Required Minimum Distributions.
- Serve as point of contact for clients during the asset consolidation process including IRA transfers and 401(K) rollovers.
Client Relationship Associate
January 1999 to January 2001Vanguard - City , STATE
January 1999 to January 2001Vanguard - City , STATE
- Respond to incoming calls related to client service needs and Vanguard's products and services.
- Serve as point of contact for problem resolution working with internal processing groups and following up with clients as needed.
Education
Bachelor of Science : Business Administration, 1998University of North Carolina at Charlotte - City, State
Major in Marketing
Skills
- Dedicated investment professional currently seeking Certified Financial Planner designation
- Independent worker who thrives in a fast-paced team environment
- 5 years' experience in working with Ultra High Net Worth clients
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Resume Overview
School Attended
- University of North Carolina at Charlotte
Job Titles Held:
- Ultra High Net Worth Investment Associate
- Planning Support Specialist
- Retirement Resource Center Communication Associate
- Client Relationship Associate
Degrees
- Bachelor of Science : Business Administration , 1998
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