Baldeep Chahal Email & Phone Number

Vancouver, British Columbia, Canada

BRANCH MANAGER SUPPORT➨ Work with the Branch Manager to ensure the smooth running of the branch on a day-to-day basis.➨ Respond to escalated inquiries from Investment Advisors & Assistants. ➨ Assist with the on boarding and supervision of Advisors and Assistants. COMMUNICATION ➨ Send out monthly newsletters providing ongoing communication to the retail.

Vancouver, British Columbia, Canada

ADMINISTRATIVE➨ Served as the gatekeeper for client calls assisting with account inquiries.➨ Worked with the Compliance Department to resolve the more complex inquiries that required additional support.➨ Assisted Branch Managers’ clients in executing trades, providing information, opening new accounts, coordinating and processing new issue deals, dealt.

➨ Co-ordinated and exercised all broker warrants and fee shares, including allocation of broker warrants and fee shares into inventories. Reviewed and tracked expiring warrants.➨ Processed commissions to Investment Advisors resulting from the sale of fee shares and warrant exercises.

Vancouver, British Columbia, Canada

➨Assisted in private placements, short-form offerings, and initial public offerings.➨ Co-ordinated selling group and syndication participation, i.e. Allocation, ticketing, mail outs, commission adjustments.➨Collected & reviewed subscription agreements for brokered & non-brokered private placements.➨ Carried out investigative and other due diligence related.

Vancouver, British Columbia, Canada

New Accounts Supervisor – New Accounts (April 2001-February 2004)New Accounts (March 2000-April 2001)SUPERVISION➨ Assisted in recruiting, interviewing and training new staff within the new accounts department. ➨ Supervised 14 employees within the new accounts department. ADMINISTRATION➨ Reviewed new account documentation for adherence to compliance.