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10+ years of experience
Collaborate closely with other Stock Brokers and interns in servicing more than 3,000 individual, joint, retirement, trust, estate, and corporate accounts. Offer key support in opening new accounts, upgrading existing service, and educating clients. Retain a high volume of customers by building long-term relationships and providing education and personal assistance. Place equity and option trades and submit mutual fund and bond orders. Provide notification and explanation of terms for reorganization items. Conduct group presentations and one-on-one product and service demonstrations. Interview, hire, coach, motivate, and evaluate performance of staff. Deliver staff training in areas of referral acquisition, asset gathering, problem solving, and client education and satisfaction. Ensure compliance with FINRA, SEC, company, and client services rules, policies, and procedures.
- Secured numerous multimillion-dollar accounts through successful relationship building and referrals.
- Continually ensured client satisfaction with a high likelihood to recommend by enhancing service, improving processes, and resolving complaints and inquiries.
- Effectively trained several interns to become future senior brokers and managers.
- Developed highly productive and efficient team that won Branch Excellence Award.
- Initially hired as Intern and earned promotions leading to Branch Manager position within three years.
0-5 years of experience
Completed a comprehensive training program and obtained Series 7 and 63 Licenses
- Placed equity, option and mutual fund trades, provided quotes and facilitated discussions regarding equity markets, fixed income markets, international markets and economic conditions
- Analyzed clients’ portfolio exposure to risk to help determine suitability of investments
- Worked in a performance driven environment exceeding sales metrics regarding business lead referrals, online previews of products, educational workshops, and trading platform walkthroughs
- Coached team members to improve upon the service to sales transition and identify unstated needs or financial goals that may be achieved by further utilizing company services, products or tools
- Developed and implemented lean initiatives through team problem solving sessions to identify ways to improve process efficiencies as well as the business strategy of the organization
- Analyzed data on call drivers to determine ways to reduce call volume and handle time
0-5 years of experience
- Provided customer service and financial brokerage to facilitate the growth of a high volume retail branch.
- Promoted to the role of branch stock broker from the role of broker trainee.
- Facilitated the investment process by opening and maintaining accounts, educating clients on financial markets and providing quotes, news and research material.
0-5 years of experience
- Managed assets of over 1 million dollars specializing in mergers and acquisitions.
- Successfully passed series 7 and 63 certification.
- Top producer for acquisition of new clients from 2000-2001
0-5 years of experience
Facilitator – providing training on new initiatives, products, and processes.
- High Efficiency team member – Specialized team providing services to a wide range of clients and contacts.
- Consistently scored within top tier (95%) for client satisfaction surveys on a quarterly basis.
- Identified solutions and financial options for existing and potential clients.
- Establish and maintain relationships with customers and provide assistance and resolution for problems clients encountered.
0-5 years of experience
Solicited clients and gathered customer assets for investment.
- Advised clients on financial investments to meet their goals and risk tolerance.
- Tracked investments for clients and analyzed portfolios making recommendations for adjustments to meet changing financial status and economic conditions.
- Series 3, 7, 63 licensed and Insurance Agent licensed.
0-5 years of experience
Executed institutional equity orders and assisted block traders in making markets, managing order flow and generating millions of dollars in equity trades.
- Traded equity positions; computed profits and losses with overarching responsibility for reporting P&L and capital usage results to accounting.
- Collaborated with sales traders across all regional offices including New York, Boston, Philadelphia, Atlanta, Chicago, Los Angeles and San Francisco, often supporting 20 or more sales traders at any given time.
- Executed institutional orders for traders; on NYSE trading desk, moved to highest volume block trading with excessive customer orders to manage; successfully managed all orders and supported block traders.
- Held two roles simultaneously for 5 year tenure; held position on equities block trading desk, assisting senior directors and block traders, and represented regional sales traders as Stock Broker/Sales trader.
0-5 years of experience
Analyzed data concerning client sentiment to increase team productivity
- Assisted the Mobile and Client Satisfaction teams with their mission to improve customer loyalty
- Worked closely with business partners to resolve complex client issues
- Mentored newly hired representatives on Fidelity systems and procedures
- Independently studied for Series 7 Stock Broker Exam, passed first time with an 89%
0-5 years of experience
Executed high volumes of telephone sales
- Managed high net worth US accounts
- Designed and implemented stock portfolios
- Increased client assets
- Established long-term client relationships
- Procured referrals from existing clientele
0-5 years of experience
- Analyzed current domestic market conditions to determine which sectors would provide the best return for the least amount of risk
- Determined customer suitability and investment objectives based on the client’s age, financial condition, and risk tolerance.
- Aggressively prospected for clients throughout the U.S. and Europe yielding approximately four leads per week
- Monitored global economic conditions to formulate a coherent macro outlook in order to identify current investment
- Applied basic principles of technical analysis to time appropriate entry and exit of funds
- Evaluated financial statements, 10(K), and 10(Q) forms to assess financial strength
- Employed fundamental analysis through examination of key ratios and the use of discounted cash flow and dividend discount
0-5 years of experience
- Developed excellent communication skills over the phone
- Provided account management and updated information to clients
- Prepared monthly account statements for company president
- Kept a well-organized work space in order to maximize daily output
0-5 years of experience
- Responsible for making calls to over 700 potential investors daily
- Educated potential customers to the workings of the markets
- Worked closely with clients in order to retain their business
- Purchased and sold securities for retail clients
- Developed investment plans based on the needs of specific clients
- Researched and analyzed the current financial markets on a daily basis, to determine the best financial product for each client
0-5 years of experience
- Worked independently in developing a strong client base and establishing long term relationships
- Conducted extensive cold calling to establish clientele
- Interacted with high level business professionals on a daily basis
- Assessed financial needs, investing goals and suitability for prospective customers
- Worked closely with clients to develop customized solutions that meet long-term financial goals and objectives
- Gained comprehensive knowledge of financial sales procedures, products and market regulations
- Resolved client inquiries and complaints about financial products and situations
- Acquired Series 7 and Series 63 licenses
0-5 years of experience
Provided secretarial support to Brokers and other staff
- Prepared stock reports and analysis
- Solicited new accounts via cold calling and presentation techniques
- Produced leads resulting in new brokerage accounts
- Arranged travel and itineraries and maintained calendars
6-10 years of experience
Handled inbound client calls
- Responded to client inquiries and provided excellent service
- Followed Patriot Act guidelines for client documentation and identification
- Possess the ability to excel in a team environment
- Call center duties
- Mediator between clients and financial advisor
- Maintained a clean U-4 for 18 + years
0-5 years of experience
- Series 7 & 63 License
- Customer orientated broker proficient in making trades via phone
- Ability to multi-task and manage demanding situations
- Met and exceeded sales goals quarterly
- Assisted clients with opening new accounts, website navigation and placing trades online
- Educated customers on the market and identified financial goals
- Expertise in financial and stock market trading business
6-10 years of experience
Completed sales order tickets and submit for processing
- Recorded transactions accurately
- Developed financial plan
- Reviewed securities transactions
- Reviewed financial periodicals, stock and bond reports, business publications, or other
0-5 years of experience
Advise clients on various investments suitable to current and future needs
- Review and understand company financial statements
- Grow customer relationships by adding value pertinent to each client’s personal financial needs
- Research and resolve account issues for banking, retirement, trust, and individual investment accounts
- Help clients understand cost basis and other pertinent tax regulations
0-5 years of experience
Research information about the market in domestic or foreign equities, securities and government stocks
- Provide appropriate advice to private clients, by phone, direct contact or internet
- Buy or sell securities for clients
- Monitor transactions related to a client’s investment
- Manage and review financial reports and perform other similar tasks
0-5 years of experience
- Educate new hires, interns and sales assistants to ensure they are providing the best experience to our clients
- Recruit potential Brokers to expand our business excellence
- Provide exceptional investment advice based on current market trends and fluctuations
- Manage client investments based on their objectives and their risk tolerance
- Receive and address emails and calls regarding client accounts and related investment inquiries
6-10 years of experience
- Act a key supporting role to the company’s high network client desk by providing exceptional customer service in a professional manner
- Develop relationships with the company’s most valuable clients to provide a more personalized brokerage experience
- Execute equity, complex option, ETF, and mutual fund trades over the phone
- Enforce industry margin rules by contacting account holders that have assumed improper stock positions via option assignment/exercise
- Educate clients on the mechanics of the markets, industry rules and regulations, tax investment laws, order entry, account types and the rules associated with each, margin requirements, buying power, and calculating gains/losses
- Provide clients with stock quotes, news, and company reorganization information
- Follow up on leads from potential high-volume customers and negotiate commission rates
0-5 years of experience
Business to business sales
- Series 7 Licensed
- Series 63 Licensed
- Series 6 Licensed
- Louisiana Life and Health Insurance License
0-5 years of experience
- Maintained individual accounts in the small capitalization market
- Allocated initial public offering stock to preferred clients
- Opened new accounts by cold calling
0-5 years of experience
- Provide excellent customer service in a professional manner.
- Establish and maintain new accounts.
- Execute trades for customers (walk-in and over the phone).
- Ensure all phone conversations with customers are recorded.
- Provide stock quotes and news to customers.
- Follow up on pending ACATS transfers.
0-5 years of experience
- Provide stock quotes and news to customers
- Work with margin accounts and give buying power
- Answer technical questions, educate customer as to the workings of the market
6-10 years of experience
- Processing stock trades
- Taking stock orders
- Answering questions and reviewing account information for clients
- Large fund transfers
- Problem solving
- Technical support for the MSSB website
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Last edited by: Gabriela Barcenas, CPRW, Content Writer II -
Gabriela Barcenas
CPRW, Content Writer IIGabriela is a Certified Professional Resume Writer (CPRW) and career adviser. With 10 years of digital media experience and five years of resume writing expertise, her publication history includes fashion, education, travel, social justice, equitable design and career advice.
