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6-10 years of experience
Provided investment management, planning, investment banking, and insurance services for clients, interpreting financial information to develop strategies that successfully met their wealth objectives
- Reviewed portfolios, conduct analysis and present wealth plans of action on a daily basis
- Increased 2008 company profitability forecast by 10% by bringing overseas partnership opportunity
- Opened 15 new accounts in two months, meeting required quota early in the process
- Customized two products for the Latin American market which expanded clientele by 10% in the first year and created new market opportunities in three countries in South and Central America
- Worked to bring corporate attention to diverse not-for-profit organizations, as a result was named board member of the America-Israel Chamber of Commerce
0-5 years of experience
Brought over 10 million in asset acquisitions to the firm over the past 3 years.
- Provided financial modeling, financial analysis, risk-tolerance assessments, and retirement illustrations to high net-worth clients for strategies today through retirement.
- Maintained continuous alignment of an enrollment strategy to garner state-wide pension plans in California, Iowa, Virginia and New York.
- Implemented and directed an initiative to accommodate our Spanish speaking participants by developing an integrated voice response system (IVR) and a website in Spanish.
- Coached, mentored and trained new personnel on company software, operating procedures and SEC / FINRA compliance.
- Repeatedly recognized and honored for top sales / leads, customer service and leadership.
0-5 years of experience
Provided relationship and wealth management for 20 high net worth clients
- Advised customers on investments within a portfolio of $15M
- Promoted bank products with an 80% success rate, including cross selling of deposits, current accounts, commercial notes and bankers acceptance
- Researched and implemented new credit products, including Visa cards, in the Nigerian market
- Recruited 10 clients worth $10M by implementing international concierge and credit card services
- Prepared semi-annual reports, budgets and performance statistics for Board of Directors and Managing Director
- Generated credit and liability analysis for group and bank
- Trained 80 new bank personnel in wealth management services
0-5 years of experience
Helped manage $13.5 million book of business.
- Completed all back office tasks including but not limited to filling out forms, maintaining current records, reporting of correspondence, uploading of documents, executing trades.
- Determined suitability of clients and prepared comprehensive financial plans for clients, utilizing current technology including red tail, netx360, and morning star.
- Developed asset allocation models diversifying risk by researching funds using fundamental analysis.
- Conducted client meetings to update, review and develop financial goals.
- Became an expert in various financial products including mutual funds, retirement plans(401(k) plans, Ind(K),SEPs, SIMPLE plans) variable and fixed annuities and various life insurance products (VUL, Whole and Term)
0-5 years of experience
Investment Advisor for individuals and small businesses in the greater Los Angeles area
- Sourced and maintained client relationships, as well as third party relationships (CPAs, attorneys, bankers and executors) leading to approximately one third of the total firm’s assets
- Created detailed financial goals analysis reports to initiate a unique and comprehensive blueprint for prospective clients
- Built and implemented personalized asset allocation models to help meet the needs of over 20 clients
- Executed tax management by coordinating sales of assets prior to year end
- Provided written and verbal quarterly portfolio reviews to highlight progress and establish new goals
- Educated clients on all market related theories, including fundamental, technical and behavioral analysis
- Analyzed global financial markets and measured indicators and indices against portfolio allocation
0-5 years of experience
Focused on provision of world-class customer service to individual and business clients with net worth as high as $40M. Performed needs assessments, provided mutual fund investment solutions, and updated clients on investment performance on daily basis.
- Expedited reorganization of client database for improved information processing.
- Fostered business relationships and provided significant increase in customer service, resulting in solidification of client base and significant revenue expansion.
- Elevated revenue on consistent basis.
0-5 years of experience
Supervised 12 financial professionals managing Global Private Wealth accounts exceeding $10 million in household assets.
- Ensured accurate margin and options calculations, research, professional development of team, and analysis of operational data and reports.
- Developed and maintained all margin and options training programs for Financial Advisors, Branch Managers, Operation Specialists, and clients.
- Discussed Regulation T margin and option strategies, compliance, and violations issues with Financial Advisors and Administration Managers of Private Wealth clients.
- Managed project teams which included, but were not limited to increasing employee and branch office satisfaction, integration of Rule 431 option strategies, integration of new business, various system enhancements, and overall productivity.
- Maintained 90% approval rating from Branch Office Sales/Service Questionnaire and 98% approval rating of the [company name] Service Network call center.
0-5 years of experience
- Took and passed FINRA Series 7 and FINRA Series 66 licensing tests
- Fostered strong relationships with clients and assessed clients’ specific investment needs based on risk tolerance and time horizon
- Reviewed and analyzed research for clients to provide thorough advice and guidance regarding investment decisions
- Established and maintained relationships with the internal management team and communicated circumstances that required supervisory attention
0-5 years of experience
Top 50 FCM specializing in commodity futures, options, forex and managed CTA investment programs.
- Top-producer due to strong product knowledge, effective marketing and proactive business development
- Only employee fast-tracked through Wealth Management Training Program
- Set records for new accounts (100+) and equity raised ($2M+) in first year, double department average
- Improved sales campaigns by elevating marketing materials featuring company products and strengths
- Provided market insights and trade recommendations working with top-performing CTA program
0-5 years of experience
Series 6 & 7 NASD Registered broker
- Prospected for new accounts through cold calling and setting up appointments with potential clients
- Analyzed client’s needs, risk tolerance and overall investment tendencies
- Performed in-depth analysis of securities before and after initial purchase
- Recorded holdings for clients
- Client’s successful money making holdings selected included Genzyme Corp., Northeast Utilities and Diana Corporation
- Provided clients excellent service with diversified portfolios of stocks, cash and income producing securities
0-5 years of experience
- Directed three managers responsible for Client Service and Mutual Fund Processing
- Provided direct oversight for accounting of 60 Common Trust Funds with an aggregate market value of 1.75 billion dollars
- Fostered and managed client relationships and ensured service level standards were met or exceeded and IT projects completed on schedule
- Coordinated customized web rollout for clients
- Facilitated implementation of Rule 22c-2
- Active member of a working team which developed a process for conducting business reviews of sensitive functions and identifying needed controls
- Documented procedures and workflow controls for business units
0-5 years of experience
- Managed and advised on assets in excess of $130 million
- Established and managed 403B plans for local education and non profit organizations
- Developed allocation of client accounts based upon their investment objectives
- Provided estate and insurance planning
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Wealth Manager
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.
