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Regal Securities - Financial Consultant Resume Example

Aria Barnes
XX XXXXXXXX XXXX, Maumelle, AR 72113

Service-oriented investment professional with 20 years background in financial services.  Experience includes stocks, bonds, mutual funds, options, insurance products and retail banking, as well as excellent communication and time management skills. Handles tasks with accuracy and efficiency. Interested in Registered Sales Assistant position. 

  • MS Word, Excel, Outlook, PowerPoint
  • Most office equiptment
  • Administration and Management
  • Customer and Personal Service
  • Critical Thinking
  • Compliance knowledge
Financial Consultant/ Arkansas Resident Principal Jan 2007Jan 2013 Regal Securities, Inc
  • Established New Accounts, placed trades for investments, recommended suitable investments for clients.
  • Responsible for clearing daily and monthly blotters, monitor deposit receipts and disbursements, gathered required file documentation as needed.
  • Supervised and reviewed rep accounts and trades, and submitted reports to compliance department.
Financial Consultant/Branch Principle Jan 2002Jan 2007 SAMCO Financial Services, Inc
  • Established New Accounts, placed trades for all investments, recommended appropriate investments for clients.
  • Responsible for clearing daily and monthly blotters, monitor deposit receipts and disbursements, gathering required file documentation as needed.
  • Transferred my book of business to Regal Securities, Inc.
Branch Manager & Financial Advisor Jan 2001Jan 2002 SAMCO Financial Services, Inc./ Community Bank/
  • Supervisor of branch operations including tellers, customer service representatives, and loan assistant.
  • Worked with all departments within bank to resolve complaints and errors.
  • Responsible for daily branch clearing (teller drawers, vault and ATM).
  • Interviewed job applicants, conducted performance reviews and scheduled training needs.
  • Responsible for hold meetings as needed with staff.
  • Conducted surprise audits of teller's cash drawer.
  • Offered Consumer loans and second mortgages, analyzed credit reports and gathered supporting documentation for loan decision.
  • Offered Insurance products, including Life, Annuities and P& C.
  • Opened and serviced checking accounts, savings and certificates of deposits.
  • Daily monitoring of overdrawn accounts.
  • Marketing and networking within the community.
  • Because I was licensed to offer investment securities, I also was a financial advisor offering securities through SAMCO Financial Services, Inc.
  • This dual position was divided into two separate positions because of the.
Financial Advisor Jan 1997Jan 2001 Morgan Stanley
  • Opened and serviced new client accounts.
  • Recommended suitable investments to clients.
  • Placed trades for all investments including options and annuities.
  • Participated in seminars and trade shows.
  • Received extensive sales training at the Morgan Stanley Main Office which was located at the World Trade Center, as well as ongoing sales and regulatory training in the branch and regional offices.
  • Supervision of Administrative Assistant.
  • I left this position to work closer to home.
Consumer Loan Officer Jan 1991Jan 1996 Superior Federal Bank North Little Rock
  • Assisted customers with loan needs in six branches, processed loan documents, analyzed credit reports, calculated and quoted loan payments, provided amortization schedules, pre-qualified customers by phone and in-person, Closed loans (consumer and mortgage), approved loans within bank guidelines, excellent credit life insurance on consumer loans, supervised loan assistants (2).
  • In-Branch Trainer.
Supervisor/ Fine Jewelry Jan 1986Jan 1991 Sears North Little Rock
  • Scheduled and supervisor of six part-time and full-time employees.
  • Entrusted to assist with daily operations, including opening/closing store, processing transactions, dealing with complaints, monitoring inventory and repairs, and coordinating promotional events.
  • Branch Training coordinator and Overage/Shortage Tracer for twenty-seven registers.
  • Worked with Loss Prevention/ Security to identify areas within store that needed additional security monitoring because of internal theft.
Bachelor of Science: Education May 2015 University of Arkansas at Little Rock Little Rock, AR Early Childhood Education PreK-6
Associate of Arts: Business May 2006 Arkansas State University-Beebe Beebe, AR
Accounting I & II, Microeconomics, Business Management, Microcomputer Applications I & II, Legal Environment Business, Statistics
English, Some Spanish
Additional Information
Institution of Financial Education Courses
Series 7, 24, 31, 63, 65 Investment Licensed (inactive)
Life, Annuities, Property & Casualty Insurance Licensed
Consumer and Mortgage Lending training
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Resume Details

This is a real resume for a Financial Consultant in Maumelle, Arkansas with experience working for such companies as Regal Securities, Inc, Samco Financial Services. This is one of the hundreds of Financial Consultant resumes available on our site for free. Use these resumes as templates to get help creating the best Financial Consultant resume.

Previous Companies:

  • Regal Securities
  • Inc
  • SAMCO Financial Services

Previous Job Positions:

  • Financial Consultant
  • Arkansas Resident Principal
  • Branch Principle
  • Branch Manager & Financial Advisor
  • Financial Advisor


  • University of Arkansas at Little Rock
  • Arkansas State University-Beebe

Level of Education:

  • Bachelor of Science
  • Associate of Arts
  • Accounting I & II, Microeconomics, Business Management, Microcomputer Applications I & II, Legal Environment Business, Statistics

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