Obtained a Series 65 license to serve as a registered investment advisor, positioning team for success, laying groundwork, and establishing foundation for building a new businessIdentified clients’ needs through proactive engagement, effective communication, and active listening to provide exceptional services and deliver positive experiencesLeveraged consultative sales techniques and implemented effective sales strategies to support client acquisition activities, increasing client base significantlyEnsured superior client service standards to maximize client retention and facilitate progression of strategic growth initiatives, managing a diverse portfolio of national relationships between $50K to $250KEmployed technical proficiency to effectively use CRM software (Salesforce) for management of outbound calling operations and implementation of email marketing campaignsInteracted with clients using excellent communication skills to establish lasting relationshipsDisplayed comprehensive financial expertise by developing baseline financial plans using 3 new software packages, ensuring accurate and tailored advisory services for clients throughout account lifecycle

Utilized extensive experience and financial expertise in a client-facing role, demonstrating a strong ability to adapt and effectively serve clientsPlayed a key role in managing 529 plans as designated sponsor for State ofKansas, providing guidance and offering assistance to clients for ensuring investments aligned with financial goalsProvided personalized assistance and addressed specific needs, including decedent estate settlement, account setup, and securities trading, leading to positive client relationshipsMaintained comprehensive knowledge of financial products and financial services to guide clients and ensure achievement of financial objectives

Exceeded expectations by delivering exceptional client experiences, focusing on investors with a minimum of $100K in assets within direct business segmentExpanded professional qualifications by obtaining a Series 7 license, enhancing ability to diversify investment portfolios and provide comprehensive financial services to brokerage clientsDemonstrated expertise in facilitating transactions involving non-managed investment products, including outside funds, stocks, bonds, and CDs, delivering tailored solutions to meet clients' unique financial goalsManaged a portfolio of clients by delivering industry-leading client experiences to maintain high levels of client satisfaction and drive loyaltyRecorded client interactions using Salesforce CRM for enabling seamless access to important client information, facilitating effective communication, and ensuring accurate recordkeeping

Worked with the small business segment to assist clients with their retirement and cash accounts. Interactions included SEP, SARSEP, SIMPLE, 403(b), 401(k) and business checking accounts.

Assisted clients with their 401(k) plans (large employers - full service record-keeping). I also demonstrated our services to prospective employers for our sales team.

Entry level position learning about personal finance to assist investors with question about their accounts. I obtained the FINRA Series 6 and 63 industry licenses within my first two months of employment and continued with company learning programs.