Claire Oshima Email and Phone Number
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As a Senior Registered Client Associate, responsibilities include day-to-day brokerage operations and client support of Financial Advisors. This may include preparing and disseminating reports and analyses, general clerical and administrative duties, processing customer transactions, maintaining client accounts and research lists, and compiling statistical information. Responsible for identifying and preventing potential risk-related transactions.Prior to my current position, I have worked in a variety of facets within our firm: Field Support Associate manager and two years as a Governance Specialist maintaining branch operations. Earlier in my career, I worked for Wells Fargo Bank, N.A* for seven years in various capacities within Henderson & Las Vegas, Nevada. *Wells Fargo Bank, N.A. is a bank affiliate of Wells Fargo & Company.In addition to helping my counterparts and clients, I am committed to helping my community through volunteer opportunities through Wells Fargo & Co. Away from the office, I also enjoy traveling, hiking, snowboarding, cooking and eating. Not necessarily in that order.Please contact me by e-mail: claire.oshima@wellsfargo.com or by phone: (702) 791-6104. I cannot respond to messages through LinkedIn.This information is intended for use by residents of AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, and WY only.CA Insurance Producer License #: 0I45050. Resident state: NV./*********/Investment and Insurance Products are:* Not Insured by the FDIC or Any Federal Government Agency* Not a Deposit or Other Obligation of, or Guaranteed by, the Bank or Any Bank Affiliate* Subject to Investment Risks, Including Possible Loss of the Principal Amount InvestedWells Fargo Advisors is a trade name used by Wells Fargo Clearing Services, LLC, Member SIPC, a registered broker-dealer and non-bank affiliate of Wells Fargo & Company. Opinions and comments do not necessarily represent the views of our firm. Additional guidelines can be found on wfa.com/social
Wells Fargo Advisors
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Senior Registered Client AssociateWells Fargo Advisors Mar 2023 - PresentAssist Financial Advisor(s) with sales, service, and operational related activities such as providing service to clients via telephone, direct interaction and/or written correspondence. Facilitate Financial Advisor and client requests for account related information and/or quotes, schedule and prepare for appointments with new or prospective clients, establish and service client accounts, prepare forms, research account inquiries and/or issues. Execute various administrative functions for the Financial Advisor(s) and Branch Management including, but not limited to, tracking referrals, coordinating, and executing marketing campaigns, establishing and maintaining files to meet the firm's regulatory requirements, and establishing and maintaining filing and record keeping necessary to support efforts to service and grow client relationships. Act as the liaison for all referral sources by reviewing paperwork for completeness and forwarding to management for review when applicable. Utilize prior experience in the Registered Client Associate role to anticipate and proactively seek resolutions to client and business-related issues. Demonstrate seasoned judgment by handling complex clients with a high degree of professionalismViewed by peers as a subject matter expert and sought by others for advice or guidance. Provide knowledge and systems support to branch personnel and training for entry-level Client Associates.
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Field Support Associate ManagerWells Fargo Advisors Mar 2022 - Mar 2023Henderson, Nevada, United StatesSupervise less experienced roles in transactional tasks and processes to ensure timely completion, quality, and compliance. Identify opportunities for process improvement and risk control development in less complex functional areas. Make day to day supervisory decisions and resolve issues related to team supervision, work allocation, and daily operations. Leverage interpretation of policies, procedures, and compliance requirements. Collaborate and consult with peers, colleagues, and mid level managers as well as interact directly with external customers. Manage allocation of people and financial resources for Brokerage Field Support. Mentor and guide talent development of direct reports and assist in hiring talent
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Field Support Governance SpecialistWells Fargo Advisors Feb 2020 - Mar 2022San Diego, CaResponsible for supervision, risk, controls and other oversight tasks for branch(s) within one or more markets as assigned by the Field Governance Manager. Escalates required findings and issues as necessary to the Leadership Management Team. Works with the Leadership Management Team to ensure that branches within the markets follow compliance and supervisory policies, procedures, and processes. As delegated by the Field Governance Manager, serves as an escalation point for Home Office support and oversight groups. Works with Centralized Supervision to address and resolve alerts.
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Regional Support SpecialistWells Fargo Advisors Mar 2018 - Feb 2020Las Vegas, NevadaAssists financial advisors by providing sales and servicing support. Utilizes past experience as a registered brokerage associate to anticipate and proactively seek resolutions to client problems. Demonstrates seasoned judgment by handling difficult clients with a high degree of professionalism. Duties may include: opening accounts and processing paperwork; working with internal departments and/or directly with the client in solving service/operational issues, answering or providing information regarding procedural/sales questions, and processing client service requests (address changes, statement copies, etc.); processing the movement of funds and equities; scheduling appointments for new and existing clients; monitoring and tracking referrals; consistent level of competence in following firm compliance procedures and file maintenance; issuing sales/marketing information to clients; preparing marketing packages; ordering supplies; maintaining file system for prospective and existing clients; reviewing paperwork for completeness and forwarding to management for review. At the direction of financial advisor, may assist in analysis of performance data for investment options. Viewed by peers as a subject matter expert, and sought by others for advice or guidance. Provides operational training for new hires, both support staff, financial consultants, and financial advisors, and assists in their assimilation into the organization.
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Senior Registered Client AssociateWells Fargo Advisors Oct 2012 - Mar 2018
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Registered Personal BankerWells Fargo Bank Feb 2005 - Oct 2012Las Vegas, Nevada AreaWells Fargo Bank, N.A. is a bank affiliate of Wells Fargo & Company.
Claire Oshima Skills
Claire Oshima Education Details
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Health Promotion
Frequently Asked Questions about Claire Oshima
What company does Claire Oshima work for?
Claire Oshima works for Wells Fargo Advisors
What is Claire Oshima's role at the current company?
Claire Oshima's current role is Senior Registered Client Associate at Wells Fargo Advisors.
What is Claire Oshima's email address?
Claire Oshima's email address is cl****@****.rr.com
What schools did Claire Oshima attend?
Claire Oshima attended University Of Nevada-Las Vegas.
What skills is Claire Oshima known for?
Claire Oshima has skills like Digital Media, Risk Management, Broadridge, Communication, Socialware, Regulatory Compliance, Financial Services, Supervision.
Who are Claire Oshima's colleagues?
Claire Oshima's colleagues are Lizzy Clendenin, Jeff Armstrong, Jon Henderson, Cfp®, Tiffany Foreman, Pamela Martin, Dorian Enhelder Cfp®, Paul Ross.
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