SUMMARY:

I have experience building & managing productive client relationships performing financial consultations & needs based financial planning. I also have experience in consultative sales, business development, relationship management and customer service roles.

PROFESSIONAL EXPERIENCE:

Confidential, Phoenix, AZ

Associate Portfolio Consultant

Responsibilities:

• Assist managing Financial Practice for 2 - 5 Portfolio Consultants each with 150+ clients (Non-discretionary fee based accounts) by working directly with clients daily to advise them and build close relationships allowing Portfolio Consultants to concentrate on their core portfolio management duties.
• Advise clients on recommended portfolio changes, execute the trades and document client conversations.
• Use portfolio management software to research, build and rebalance client investment portfolios.
• Work with Financial Consultant partners in retail branches to facilitate positive client interactions and business results and engage with appropriate services departments for client service needs and issue resolution.
• Use financial planning tools software to build out financial plans for clients or work with financial planning team to engage with clients on specific planning needs around common wealth management issues.
• Spearheaded new client onboarding with welcome calls, service assessments, pre-fill account applications and facilitating & tracking incoming asset transfers.
• Other duties include: Client Survey follow up calls and resolution, Weekly new enrollment reports for the Southwest team.

Confidential

Investment Consultant/Sr. Specialist

Responsibilities:

• Perform financial consultations, portfolio reviews and deliver planning advice to Confidential employee clients & household members with assets up $250k utilizing portfolio management and financial planning software, and other Schwab online resources for employees on a wide range of financial topics.
• Provide high quality service & guidance for Schwab employees and their family members for their brokerage and equity stock award accounts.
• Manage a variety of business processes on a daily basis including brokerage operations, account related paperwork, client notices, cashiering requests, compliance actions/trade cancellations, execute trades as requested.
• Developed process for and managed Schwab employee access to StreetSmart Edge active trading platform for all of Schwab & facilitated training consultations for employees or their family members interested in the advanced trading platform.
• Promote Employee Branch and Advice Services at employee team meetings and Schwab events

Confidential

Sr. Registered Representative/Active Trader Rep

Responsibilities:

• Dedicated active trader team member servicing Schwab active trader & high net worth client groups.
• Advise and consult clients on mechanics of trading, trading strategies, market environment and managing margin accounts.
• Provide single point of contact issue resolution and responsive service to strategically important customer segment for Schwab.
• Led my team and collaborated to develop performance metrics and tools to analyze team performance against other Schwab brokerage services teams versus our business objectives.

Confidential, Phoenix, AZ

Investment Advisor Representative/Financial Advisor

Responsibilities:

• Guide credit union members in all facets of financial planning through individualized needs based financial analysis with an emphasis on retirement income planning & asset protection for six branches from west Phoenix to Payson.
• Implemented financial planning seminars for employer groups (AZ DPS, Safeway & AZ state employees).

Confidential, Scottsdale, AZ

Licensed Agent & Registered Representative

Responsibilities:

• Market, prospect, & present financial solutions involving life, health, disability & long term care insurance, annuities, and mutual funds with a focus on small business owners, their employees, young families & retirees.
• Guide clients in issues related to their future financial security.

Confidential, Newport Beach, CA

Manufacturer’s Sales & Marketing Representative

Responsibilities:

• Field sales, marketing and business development representative for manufacturers of technology products calling on technology oriented retail, e-commerce, regional distribution, and computer reseller accounts in AZ, UT, NM, CO & NV.
• Responsible for developing new business and managing existing customer relationships while maximizing revenues and margins & participation in manufacturer marketing programs.
• Primary activities include long-term business development, relationship management, marketing program development, implementation of sales promotions & product trainings.

Confidential, Tempe, Arizona

Senior Account Executive

Responsibilities:

• Develop & enhance relationships with key executives and decision-makers at strategic Reseller accounts, regional distributors and direct marketers of computer products. My sales team generated revenue in excess of $140 million in 1998.
• Form strategic, creative partnerships with computer resellers to lock in Confidential as their main source for technology products and services. Negotiate and utilize market development funds to deepen client relationships.

Business Development Representative

Confidential

Responsibilities:

• Drove incremental sales of Confidential products to computer resellers and other Confidential customers as an on-site factory representative for Confidential at Confidential HQ and in the field.
• Conducted trainings & presentations promoting Confidential to sales force and computer resellers