David Highsmith Email & Phone Number

Wells, Maine, United States

• Data Maintenance• Job Auditing• Salesforce Record Upkeep• Reporting on Vendor ROI• Solutions for System Efficiency• Ensuring Brand Compliance• Extensive Support

● Monitor and manage new account workflow, daily establishment of new client portfolios, and managing new and current accounts for accuracy and trade execution.● Handle requests from Investment Executive requiring detailed knowledge outside scope of general Operations procedures, including MAS navigation, correspondence with Envestnet and NFS.● Troubleshoot escalated trading and account management issues.● Execute broker requests for trade error corrections, requesting… Show more ● Monitor and manage new account workflow, daily establishment of new client portfolios, and managing new and current accounts for accuracy and trade execution.● Handle requests from Investment Executive requiring detailed knowledge outside scope of general Operations procedures, including MAS navigation, correspondence with Envestnet and NFS.● Troubleshoot escalated trading and account management issues.● Execute broker requests for trade error corrections, requesting corrections through NFS and Envestnet and monitoring their successful completion.● Identify and resolve problems related to workflow, service and trading.● Assist Investment Executives in all aspects of NFS and MAS trading system.● Display intuitive judgment, problem-solving and effective problem resolution skills.● Responsible for maintaining all service level agreements and bringing continuous improvements to Brokerage Operations/RIA Services policies and procedures. Show less

● Receive and execute trade instructions from customers both directly and as a backup for unavailable Investment Executives and their assistants.● Accurately enter stock, mutual fund, bond, option, and UIT orders through NFS.● Maintain blotters of daily activity to satisfy compliance requirements.● Execute broker requests for trade error corrections, requesting corrections through NFS and monitoring their successful completion.● Maintain and update gain and loss… Show more ● Receive and execute trade instructions from customers both directly and as a backup for unavailable Investment Executives and their assistants.● Accurately enter stock, mutual fund, bond, option, and UIT orders through NFS.● Maintain blotters of daily activity to satisfy compliance requirements.● Execute broker requests for trade error corrections, requesting corrections through NFS and monitoring their successful completion.● Maintain and update gain and loss spreadsheets for errors.● Assist Investment Executives in all aspects of NFS TRADING system.● Respond to calls regarding margin calls, Reg T buy-ins and sell-outs, status of transfers, and all other issues related to client accounts for Financial Advisors.● Lead and direct the mutual fund correction team. Research and process trade errors. Calculate profit/loss analysis for trades. Responsible for training new hires and reviewing large dollar gains and losses. Work closely with National Financial to ensure proper processing of error corrections. Show less

● Assist client and client representatives with a wide variety of issues pertaining to their accounts.● Place trades for clients and their representatives and monitor customer transactions from trade date to receipt of proceeds● Work closely with other areas both inside Brokerage Operations and our clearing firm, National ● Financial Services, to assist with client and representative problems.● Responsible for a high-level understanding of all aspects of Brokerage… Show more ● Assist client and client representatives with a wide variety of issues pertaining to their accounts.● Place trades for clients and their representatives and monitor customer transactions from trade date to receipt of proceeds● Work closely with other areas both inside Brokerage Operations and our clearing firm, National ● Financial Services, to assist with client and representative problems.● Responsible for a high-level understanding of all aspects of Brokerage Operations—cashiering, process and control, trading, and compliance—to assist clients and brokers.● Lead Tax and Legal Research group responsible for client and broker requests for a variety of items including subpoena requests, verification of deposits, historical account research, and liaison between Fifth Third Securities and outside parties. Show less

Master Of Arts - Ma, History

Master Of Arts - Ma, Latin American Studies

Bachelor'S Of Arts, Spanish Language And Literature

Activities and Societies: Spanish Honor Society, Sigma Delta Pi Traveled extensively in Latin America, specifically Chile, Argentina.

Education record