Wells Fargo Advisors - Senior Registered Client Associate Resume Example

Chloe Torres

XXX XXXXXXXXX XXXXX, Battle Creek, MI 49014

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Ph: XXXXX XXXXXXXX

Professional Summary

Service-oriented Series 7 and 66 licensed Sales Assistant with 18 year background in the brokerage industry. Core competencies include social perceptiveness, active listening and critical thinking as well as excellent communication and time management skills. Handles tasks with accuracy and efficiency.

Skills

Critical Thinking Social Perceptiveness Active Listening Active Learning Customer and Personal Service Management of Financial Resources Time Management

Experience

Senior Registered Client Associate Apr 2011－Present Wells Fargo Advisors Battle Creek, MI

Prepare forms, such as receipts, IRA withdrawal, ACH requests, or ACAT transfers, based on transaction requests from clients.
Submit all service requests and verify completion.
Correspond with clients and confer with coworkers to answer inquiries, discuss market fluctuations, or resolve account problems.
Meet with clients to develope a plan for future financial needs using the Envision program.
Place trades for clients.

Senior Registered Client Associate Nov 1997－Apr 2011 Hilliard Lyons Battle Creek, MI

Taking client calls and assisting them with services needed or changes that need to be made to their accounts.
Taking orders to purchase or sell securities from clients.
Prepare forms such as IRA distribution requests, ACH setups, ACAT transfer papers, based on requests from clients.

Registrar Dec 2002－May 2006 Battle Creek Health System Battle Creek, MI

Register patients needing emergency room treatment for walk-ins and ambulance services.
Registered patients for X-Rays, MRI, and direct admits to the hospital.
Verified medical insurance coverage.

Broker Assistant Apr 1997－Nov 1997 First of Michaigan/Fahenstock Battle Creek, MI

Service client accounts. Submit paperwork for ACAT transfers, opened new accounts, IRA distributions and contributions. Verified completion of such transctions.
Answer phone calls and direct calls to appropriate parties or take messages.
Greet visitors and determine whether they should be given access to specific individuals.

Broker Assistant Aug 1996－Apr 1997 A. G. Edwards Battle Creek, MI

Open, sort, and distribute incoming correspondence, including faxes and email.
Answer phone calls and direct calls to appropriate parties or help client if possible.
Cashiering responsiblilties, issuing checks, taking in funds and issuing receipts. Booking in securities.

Brakeman, Conductor, Engineer Trainee Aug 1994－Jan 1996 Canadian National Railway Battle Creek, MI

Direct and instruct workers engaged in yard activities, such as switching tracks, coupling and uncoupling cars, and routing inbound and outbound traffic.
Receive instructions from dispatchers regarding trains' routes, timetables, and cargoes.
Review schedules, switching orders, way bills, and shipping records to obtain cargo loading and unloading information and to plan work.
Interpret train orders, signals, or railroad rules and regulations that govern the operation of locomotives.
Receive starting signals from conductors and use controls such as throttles or air brakes to drive electric, diesel-electric, steam, or gas turbine-electric locomotives.
Operate locomotives to transport freight or to assemble or disassemble trains within rail yards.

Education