Maintained client relationships with Owners, CEO’s and Presidents of numerous corporations.Reviewed and responded to all clients’ inquiries and requests regarding their investment accounts.Daily client contact by telephone, written and in person.Opened and maintained new Brokerage Accounts i.e. Individual, IRA, Trust.Opened and maintained new accounts for Section 529 College Savings ProgramsDeveloped a daily “Follow-Up” system which tracked transactions within client accounts.Typed and created letters for self, employer and other office personnel.Processed daily checks received from clients.Followed up on outstanding client bills and assisted in payment of same.Determined accuracy of daily security transactions via Daily Downloading of client’s brokerage accounts.Processed daily trades of equities, fixed income securities and Mutual Funds.Acted as the liaison with our Clearing Firm’s operational departments regarding all areas of the firm’s business.Processed daily mail for office personnel.Assisted Chief Compliance Officer with Financial Audits.

Administration of Qualified Plans; Defined Benefit, Defined Contribution and 401(k).Prepared timely accurate Annual Reports for IRS and Department of Labor.Heavy client contact both verbally and by written correspondence.Prepared Asset Summaries and Federal tax forms for timely reporting.Determined eligibility of individuals for entrance into plans.Processed paperwork to distribute vested benefits to terminated participants.