Financial Advisor Resume

PROFESSIONAL EXPERIENCE:

Confidential

Financial Advisor

Responsibilities:

Led clients through the process of formulating a retirement plan
Ensured processing of 401K retirement account rollovers
Assisted businesses in the establishment of 401K retirement plans for their employees
Educated clients on available loan products tailored to their needs
Conducted daily activities for individual, family, and business investment management
Completed daily tasks for portfolio management
Coordinated new business development by actively prospecting and engaging clients daily
Adhered to all protocols and procedures for risk management
Engaged foundations and other charitable entities in a consultant role

Confidential

Financial Service Advisor II

Responsibilities:

Engaged new and existing clients to establish rapport, build relationships, recommend appropriate products and services, and generate referrals
Provided support to all branch staff to ensure smooth internal operations
Assisted in the training and coaching of new branch staff
Collaborated with internal departments to best serve members by analyzing, researching, and resolving problems as a team
Carried out the prospecting, processing, review, approval, and disbursement of consumer loans, including a review and analysis of the Credit Bureau Reports.
Completed all document processing and closing paperwork as a Mortgage Loan Officer
Completed all processes for business account openings, and made appropriate referrals to Commercial Lending Department
Served as Branch Marketing Liaison wherein accurate displays of all ongoing promotions were maintained, and all signage and updates in accordance with Credit Union Compliance Requirements were prioritized
Represented the credit union at community events and service opportunities, including local VITA income tax preparation

Confidential

Licensed Financial Specialist

Responsibilities:

Developed new and existing bank customers utilizing daily prospecting practices and branch staff referrals
Created client profiles and prepared presentations to best recommend ideal solutions for financial plans and goals
Completed daily operational tasks including new account openings, transfers, trades, portfolio analysis and reviews, and correspondence with internal and external stakeholders
Coordinated routinely with brokers, dealers, mutual fund companies, as well as insurance and annuity companies
Provided training and support to branch staff to recognize existing customer account bank profiles and referral opportunities
Ensured reciprocal referrals back to bank for client’s lending and general financial service needs

Confidential, New York

Mutual Fund Trader

Responsibilities:

Engaged daily in trade review, correction, and execution for clients regarding their individual and retirement plans via incoming calls, email correspondence, and fax
Managed Internal Operations Trade Research and Analysis including Dreyfus Funds New York
Acted as an internal advisor to Dreyfus Financial Consultants
Led as a project manager during the acquisition of the firm by RBS/Citizens Bank

Confidential

Registered Sales Assistant

Responsibilities:

Provided administrative, marketing, and communications support to a team of five financial advisors
Provided superior client support by addressing all inquiries, account service requests, applications, transfers, reviews, research needs, presentations, and data collection
Executed client equity and mutual fund trades
Managed each financial advisor’s client correspondence, reports, recordkeeping, and scheduling
Maintained all organization of files per compliance standards for annual audit requirements