Christopher Gee Email & Phone Number

Charlotte, North Carolina, United States

Charlotte, North Carolina, United States

Jersey City, NJ

• Responsible for principal review of all new accounts opened, including Brokerage, Advisory and Outside Investment accounts. Also responsible for the review and approval of all Alternative Investment purchases.
• Manage and supervise the quarterly written supervisory procedures to ensure that the principal reviewers are complying with FINRA rules and company compliance regulations.
• Collaborating with Licensing and Compliance departments to ensure the successful on-boarding of new Financial professionals and their active book of business.
• Hired and trained new employees to provide a positive customer experience through email, phone and face to face interactions.

New Jersey

New York, NY

• Setup and input fund company Commission statements to correspond with daily and bimonthly pay cycles; handle corrections on manual and NSCC / FundServ commission statements
• Lead associate for all commission inquiries received via email or telephone; resolve all broker questions and problems through email and telephone correspondence
• Train all new employees of the commission team on telephone servicing and back office processing
• Train Field Representatives on internet based Commission platform via WebEx and/or Conference calls