Dena Schwartz Email & Phone Number

San Diego, CA, US

Greater San Diego Area

• Responsible for all functions of supervisory oversight for over 100 Advisor offices under Home Office Supervision (HOS).
• Successful in building and maintaining a strong relationship with Advisors to help guide them through ever-changing regulatory requirements and LPL policies and procedures.
• Visited with 41 Advisors during 2015 and 2016 to further solidify my working relationship with their offices and add in satisfaction and retention of Advisors.
• Skilled in delivering “hard” messages to Advisors in a helpful/educational manner.
• Responsible for training new hires in the Supervision Department. This consists of one week on-site training, two weeks of WebEx training and continued mentorship.
• Participate in the Supervisory Office Visit Working Group to enhance visits to Advisors.

• Virtual Assistant for Financial AdvisorsAccount Administration
• Open/close accounts
• Process forms
• Process and follow-up on Transfers
• Handle distributions
• Set-up bank links

• Partnered with five Financial Advisors in all aspects of the financial sales and service process.
• Handled all new and existing client accounts and requests including portfolio rebalancing, execution of stock, bond and mutual fund transactions, asset transfers and money movement for over 1000 high networth clients.
• Managed client relations utilizing expertise in problem solving resulting in 99% client retention.
• Lead Trainer for all new financial advisors within the San Diego Office instructing them on the quotation system (Thompson One), the Client Management System (Client Link) and the financial planning software (Financial.
• Received over 35 written recognitions from satisfied clients, financial advisors and direct supervisors for outstanding service, handling client concerns during difficult market conditions and completing complex.
• Developed and implemented a successful tracking system for missing client documents which increased compliance audit results by over 60%.

• Built a client base by helping individuals identify financial needs and objectives. Recommended suitable financial solutions and helped implement and maintain their comprehensive financial plan.
• Mastered the Financial Profiles planning software to prepare professional financial plans which included cash management, retirement planning, college funding, insurance protection and estate planning.
• Participated in several external business networking groups to prospect for new clients resulting in a 75% increase in new relationships and increased business.
• Reviewed client’s accounts and plans regularly to determine their need for plan reassessment resulting in successfully retaining over 95% of clients.

• Responsible for building, maintaining and enhancing strong producer relationships through superior product knowledge, marketing and sales ideas as well as excellent customer service.
• Introduced life insurance products to producers to help their corporate and business clients, specifically Key Person Coverage, Buy/Sell Agreement Funding and Executive Benefit Funding.
• Advised clients on preserving their wealth through Estate Planning utilizing a “second-to-die” life insurance policy and effectively reducing their estate tax burden.
• Helped families plan for an unexpected death by evaluating how much life insurance they would need to cover expenses and to maintain a standard of living they were accustomed

Mba, Tax And Financial Planning

Ba, Management Science

Activities and Societies: Minor in Mathematics