Yyyyyy x. yyyyyy

0000 xxxxxx xxxx , xxxx , xxxxx 00000 ~ (xxx-xxx-xxxx ~ Email: abc@xyz.com

 

                                       Profile                                     

 

Results-driven Investment Strategies and Sales professional eager to contribute expertise in annuities, equity, bonds, mutual funds, and insurance toward actively supporting a progressive organization in optimizing bottom-line performance.

 

Consulting / Client Relations / Portfolio Management / Investment Products / Financial Services

Human Resources Management / Health Insurance / Customer Service

 

Technical competencies: Microsoft Office Suite (Word, Access, PowerPoint, Excel and Outlook); Microsoft and Apple Operating Systems, ACT, Reuters, Nextgen, and Consultworks.

 

                                    Career Path                                  

 

Morgan Stanley Smith Barney, Seattle, WA, 10/2008 C Present

UBS Financial Services, Mt. Laurel, NJ, 01/2006 C 10/2008                                                         

Senior Registered Client Service Associate                             

•         Directed the professional success of 10 staff and facilitated the transfer of a $140MM book of business; retained 95% of client accounts.

•         Delivered daily service of 1,000+ individual and institutional client accounts for a $1.5M producer.

•         Demonstrated knowledge of financial products in the equity, bond, option, and mutual funds industries.

•         Built and maintained client bases, keeping current client plans up-to-date and recruiting new clients on an ongoing basis.

•         Interviewed clients to determine their current income, expenses, insurance coverage, tax status, financial objectives, risk tolerance, and other information needed to develop a financial plan.

•         Advised clients on financial plans utilizing knowledge of tax and investment strategies, securities, insurance, pension plans, and real estate.

 

Banc of America Investments, Seattle, WA, 07/2005 C 12/2005               

Investment Specialist                                                  

       Explained and documented for clients the types of services that are to be provided, and the responsibilities to be taken by the personal financial advisor.

       Implemented financial planning recommendations, researched and investigated available investment opportunities to determine whether they fit into clients financial plans.

       Assessed clients' assets, liabilities, cash flow, insurance coverage, tax status, and financial objectives to establish investment strategies.

       Reviewed clients' accounts and plans regularly to determine whether life changes, economic changes, or financial performance indicate a need for plan reassessment.

 

Prudential, Horsham, PA, 06/2004 - 06/2005                                                                   

Annuity Service Specialist

       Met the needs of clients who called in to seeking guidance on investment plans; engaged in solid relations with clients needing assistance with asset retention concerns.

                       

Paul Hertel & Company, Inc., Philadelphia, PA, 06/2003 C 03/2004

Benefits Consultant / Personal Financial Advisor                    

       Drove ROA by 50% based on the launch of a strong initiative focused on marketing property and casualty insurance to clients.

       Advised and supported clients with 5 to 250 employees by offering a comprehensive open enrollment meeting each year.

       Facilitated administration of employee benefits on behalf of clients and quickly remedied the service needs of clients.

 

American Express Financial Advisors, Princeton, NJ, 05/1999 C 09/2002                         

Senior Para-Planner    

       Collaborated with advisors on securing new clients through strategic prospecting and oversaw client trades with proprietary and brokerage products.

 

Personal Financial Advisor, Conshohocken, PA

       Captured the business of 55+ clients and $5MM in assets during initial year of operation.

 

                                     Education                                    

 

Wharton Program for Working Professionals, Philadelphia, PA

Human Resources Management Certificate

 

Pennsylvania State University, State College, PA

Bachelor of Science in Finance, Minor in Business Logistics             

 

Professional Development                                                                                         

       Series 7 License & Series 63 License

       Life, Accident, and Health Insurance License

  

                                     Activities                                    

 

Delaware Valley Golden Retriever Rescue, Reinholds, PA

South Philadelphia Recycling Chapter, Philadelphia, PA

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Yyyyyy x. yyyyyy

0000 xxxxxx xxxx , xxxx , xxxxx 00000 ~ (xxx-xxx-xxxx ~ Email: abc@xyz.com

 

                                                                                         

 

<Date>

 

<<First Name>> <<Last Name>>

<<Title>>

<<Company>>

<<Street Address, Suite #>>

<<City, State Zip Code>>

 

Dear <<Courtesy>> <<Last Name>>,

 

It is with great confidence that I offer my years of professional-level fiscal management experience and strong client relations ability to your organization. As I pursue the <<Position Title>> within <<Company Name>>, I recognize that my credentials and experience would greatly assist in reaching future goals and objectives.

 

Experience as Senior Registered Client Service Associate, Investment Specialist, Annuity Service Specialist, Benefits Consultant / Personal Financial Advisor, Senior Para-Planner, and Personal Financial Advisor is the basis for my confidence that I would be a valuable asset to your organization. My career history consists of vast experience in investment advisement and sales. I consistently communicate the corporate vision to the internal members of the organization so that everyone understands their role in achieving these goals, ensuring that the action steps are taken to ensure that goals are met and developing action plans to achieve those goals. Thereafter, I prepare recommendations for improvements, controls, new methods, and other changes to improve the efficiency of operations.

 

During my career, I ve gained notable experience leading and training other employees in the appropriate procedures related to client relations and financial product knowledge. My professional background also includes a proven expertise in consulting, portfolio management, investment product knowledge, and insurance sales, interpreting complex rules and regulations governing financial products, and effectively communicating with other members of upper management and personnel, verbally and in writing.

 

My aptitude for evaluating complex problems and reviewing related information to develop viable solutions would be of great use to your organization. I welcome more discussion about how my skills can help in meeting the goals and objective of your organization. Until then, should you have any additional questions feel free to contact me at your convenience.

 

Sincerely,

 

 

 

 

Yyyyyy x. yyyyyy

Enclosure