Byron Smith Email & Phone Number

Blue Ash, Oh

Daily review of a wide variety of new business for a financial services company employing independent financial advisors. These reviews included annuities (VA, EIA, FA), private REITs, ERISA plans, direct mutual funds, interval funds, RIA platforms, and VULs. Providing direct consultation to independent advisors via phone and email, routinely de-escalating situations arising from the nature of suitability review and finding agreeable solutions for all parties involved.Collaborating with other departments of the B/D, such as RIA services, compliance, product management, and processing to create efficiencies and provide the smoothest service possible.Use of a variety of platforms to consolidate databases, conduct routine case follow up, facilitate e-submission of RIA and other business, and document trends and data for FINRA audits.Handling a very challenging workload on a daily basis, balancing reviews with follow ups, consultation, training (myself and others), and special projects to improve efficiency.

Madisonville, Oh

Principal review of annuity cases for the entire Fifth Third footprint. Review of brokerage documents, and general case management. Primary focus on variable, indexed, and fixed annuities with some review of insurance and 529 plans. Developing methods to streamline the review process both at a field and operations level based on internal and federal requirements and guidelines.

Madisonville, Oh

Trading responsibilities with mutual funds, stocks, options, etc. Serviced the entire network of Fifth Third advisors and clients. Executed trade corrections and performed minor accounting duties for the group. Worked to improve the communication process between operations and the field. General efficiency improvement.

Blue Ash, Oh

Supported one of the largest investment advisory firms in the Cincinnati area in a variety of ways including:-Trading-Database management-Client support-General technology support-Model development-Integration of new tools and resources-Securities analysis and portfolio management

Cincinnati, Oh

Duties include:-In depth conversations with prospective banking and investment clients to uncover assets and service or refer them to met needs.-Work with business partners for large accounts, cross sell opportunity, and to increase referrals.-Coach other members of the staff along with the branch managers to drive investment business.-Conduct investment conversations with clients and set up a better quality meeting for our advisors or wealth management teams.

Covington, Ky

Duties included:-Advise clients based on their financial situation if in my wheelhouse (50-100k clients). -Refer to account executives or higher portfolio managers when a client was out of the wheelhouse, and set the customer up with ongoing advisory services if appropriate.-Work with business partners in other departments to find appropriate solutions for clients.-Profile and analyze customers to find avenues to obtain further business.

Covington, Ky

Duties included:-Trading stock, options, and mutual funds for clients over the phone.-Profiling and referring customers to business partners to meet their needs.-Dealing with customer complaints and service or investment issues.

Kenwood, Oh

Basic teller duties, conducted conversations with customer and referred to bankers and investment representatives. Part time while in graduate school.

Master Of Business Administration (Mba)

Bachelor Of Arts (Ba), Economics

Activities and Societies: -Various intramural sports: football, tennis, soccer, softball. -Various clubs: social dance, debate, capture.

Bachelor’S Degree, Business/Corporate Communications

High School, Various

Activities and Societies: -Sports announcer for the high school radio station (football, basketball, baseball) -Actor in plays.