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0-5 years of experience
Created a book of business by cold calling, delivering exceptional client service, and building a client referral pipeline.
- Acquired 130 accounts with an average account size greater than $100,000 and produced over $400,000 in gross commissions.
- Organized and managed firm’s southeastern regional recruiting events.
- Led new broker training program designed to hire, train, and provide mentoring support, which led to 2 new hires being ranked as top 5 producers within 1 year of their start date.
0-5 years of experience
Guided clients with their investments portfolios and kept them well informed of their current position of their portfolio.
- Contacted prospective investors and assessed the suitability of new clients.
- Provided investment advice to clients.
- Successfully obtained Series 7 and 63 licenses.
- Performed trading for customers via phone.
- Ensured that all operations affecting clients were carried out in accordance with SEC rules.
0-5 years of experience
Provided customer service to clients and prospective clients.
- Facilitated equity and option trades upon client's request.
- Provided accurate financial information on fixed income, equity, option, and mutual fund products.
- Assisted in addressing and solving issues with the Gain/Loss & Tax Center through our third party provider.
- Educated clients and prospective clients on Scottrade and other financial industry workings.
- Maintained up-to-date information on reorganizations, IPO's, margin policies, option expiration for clients etc.
0-5 years of experience
Passed the Series 7 the first time, becoming the youngest Financial Advisor at the firm
- Increased company revenue 20% through new account acquisition (05/06-05/07 = $1.2m) (05/06-05/07 = $1.5m)
- Finished at 135% of annual sales quota for 2007
- Ranked #2 out of 15 top producing stockbrokers for 2007
- Received WOW award for consistent acquisition of personal & corporate accounts
- Promoted from Sales Representative to Director of Account Service Department to Financial Advisor
- Field trainer for new Sales Representatives (trained and mentored 6 representatives)
- Averaged fifteen to twenty new insurance/investment clients each month
- Exceeded sales and service goals each month by 20-30%
- Increased revenue 15% through referrals of satisfied clients
0-5 years of experience
Prospect new potential clients with specific questions such as investment experience, total portfolio worth, asset allocation, and specific dollar allocation in particular investment vehicles such as equities, fixed income products, and mutual funds
- Sell stock to individual and corporate clients in compliance with all SEC and Finra rules and regulations
- 350-500 daily outbound calls to prospects for qualified leads in reaching goals of 25-50 qualified leads weekly.
- Directly increased gross revenues of broker team consisting of 3 brokers by 20% to over 1 million in client assets with a 26% increase in new client acquisition
- Research publicly traded companies reviewing and analyzing Income Statements, Balance Sheets, company quarterly and annual reports in the servicing of my investment clients
- Consistent focus on client needs and suitability, compiling information in recommending proper investment products and vehicles pursuant to individual and corporate goals and risk levels
0-5 years of experience
Established client relationships and stood as the liaison between them and the Markets.
- Sustained said relationships with account servicing and follow-up, analyzing and fulfilling their needs.
- Facilitated equity, fixed income, or Mutual fund trades for our retail investors.
- Educated clients through seminars on trading, the Capital Markets, Retirement planning, and more.
- Make proactive business development calls to clients and prospects to increase AUM.
- Participated in ongoing training to develop techniques to strengthen client relationships and drive our value proposition.
0-5 years of experience
- Leadership Development Award recipient in 1988 (1 of 11 winners out of 1,000+) for sales excellence.
- Counseled clients, managed portfolios, traded stocks/bonds and grew sales.
- Involved in corporate mergers and acquisitions and public stock offerings.
0-5 years of experience
Received incoming calls from clients' world wide, ranging from simple account management issues up to placing trades throughout their accounts within their portfolios.
- Earned Series 7 & 63 licenses.
- Managed over 80 - 100 calls per day.
- Welcomed high dollar clients to their own specialized team of professionals.
- Top 1% in business development for Spring Campaign.
0-5 years of experience
Gained knowledge of client trading platforms, portfolio management software and trading tools
- Assisted clients in all areas of customer support, including website instruction, password resets
- Opened accounts and entered client trades
- Organize Branch Seminars and Client Appreciation Events
- Daily / Weekly monitoring of client's margin balances, option assignments and expirations
- Mentored the branch Intern, supported her studying and passing of Series 7 and 63
- Provided coverage at other branches when needed
0-5 years of experience
Marketed equity investment products and services to potential clients. Executed stocks, options, mutual funds and sellouts in a fast paced and compliant manner to maximize returns on investments and minimize risks.
- Obtained NASD Series 7 and 63 licenses
- Conducted Fed, Margin and Options sellouts
- Monitored trades, order executions, P&L and M&A activities
- Developed training and marketing materials for brokers
0-5 years of experience
- Conducted researches on the stocks that broker invested in, including monitor and analyze the performance of those stocks by using technical analysis, daily business news, and history behavior
- Sourced new clients through cold-call stock pitches resulting in over 100 new accounts
- Performed work of developing and maintaining database of current clients and reported it to senior stockbroker
- Assisted the stockbroker to complete the trade, executed the clients’ decision
0-5 years of experience
- Created, pitched, and designed a competitor analysis application for nationwide launch
- Analyzed stock charts, news, and financials to clarify clients research and knowledge
- Contributed to a team of ten brokers with various degrees of experience
- Supplied accurate descriptions and information regarding research and investment tools and products
- Placed stock, option, mutual fund, exchange traded fund, and fixed income trades for clients
- Advanced training with Microsoft Excel macros and pivot table formulas through Scottrade University
0-5 years of experience
- Managed over five million in stocks, bonds and mutual funds.
- Provided information to clients on a day to day basis on current market conditions.
- Marketed to new clients to grow the business and manage a staff of five.
0-5 years of experience
- Provided detailed assistance to current and potential investors.
- Increased clients' product knowledge by cross-selling the different stock features and products of the company.
- Monitored stock market activity on a daily basis.
- Participated in Series 7 training.
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