Christopher Shin, Cfp® Email & Phone Number

Phoenix, AZ, US

Phoenix, Arizona, United States

Scottsdale, Arizona, United States

United States

Phoenix, Arizona, United States

Phoenix, Arizona

• Successfully led the transformation of the Arizona Securities Division’s legacy (audit) examinationstructure into a secure, remote and digital process in response to COVID-19.
• Spearheaded the development of the Registration & Compliance department’s currentStandard Operating Procedures manual encompassing investment adviser registration,examinations and complaint investigations.
• Individually conducted on-site and remote examinations of the books, records and practices ofState-registered securities businesses to ensure compliance with the Securities Act of Arizonaand the Arizona Investment.
• Investigated complaint filings involving state and SEC-registered entities and communicatedcross-functionally with various parties to resolve and/or refer matters to State Enforcementand/or Federal regulatory agencies.
• Evaluated investment adviser licensing applications to ensure conformity and consistency withState laws and financial industry standards.
• Presented research on Form CRS and its effect on agency operations to Directors and staffwithin the Arizona Securities Division.

Scottsdale, Arizona

• Secured $21 million of new assets under management for Vanguard's Personal Advisor Services
• Performed comprehensive investment planning for clients complete with cash flow and variance analysis, investment recommendations, and goal prioritization
• Distinguished intricate tax and financial concepts, investment products/vehicles, and regulations to clients
• Administered portfolios to keep aligned with recommended allocations and client objectives
• Maintained a detailed understanding of financial planning, capital markets, and the Financial Services industry.
• Collaborated with sales teams to build and deepen relationships with existing and prospective clients.

Scottsdale, AZ

• Investigated adverse financial impacts through analysis of documentation and correspondence.
• Drafted hold harmless letters and detailed events relevant to claims of damage.
• Recognized by management for relationship management skills and a thorough understanding of policies and procedures.
• Evaluated the sensitivity, risk, and impact of cases to prioritize workload.
• Identified trends and procedural opportunities to make recommendations to management.

Scottsdale, Arizona

• Provided solutions for clients to construct, analyze, and maintain their investment portfolios.
• Educated new hires through lecture in a classroom setting and demonstration of on-the-job skills and knowledge.
• Drove department initiatives by providing the best-in-class personalized guidance and financial services.

Flagstaff, Arizona Area

• Coordinated formal and social engagements with a community of 30 first-year Business students and faculty of the W.A. Franke College of Business.
• Facilitated academic advising to achieve the highest semester-end community GPA within the university for the 2014 academic year.
• Screened, interviewed and evaluated potential candidates for the succeeding Residence Life Community Mentor roles.

Bachelor Of Science - Business Administration, Finance, 3.33

Activities and Societies: Tau Kappa Epsilon fraternity: Academic Committee Chairman; Judicial Committee Chairman, WA Franke College of.

Bachelor Of Science - Business Administration, Marketing, 3.33

Activities and Societies: Tau Kappa Epsilon fraternity: Academic Committee Chairman; Judicial Committee Chairman, WA Franke College of.

Education record