Proactively anticipate representatives needs in an independent firm with 110 million in assets managed. Work closely with our broker/dealer Commonwealth Financial Network Inc. (NFS). Manage process for tracking all business and handling of paperwork. Facilitate compliance regulations and update for any changes. In charge of writing and maintaining the office systems manual for all policies and procedures. Use exceptional customer service skills to build relationships with clients. Solely… Show more Proactively anticipate representatives needs in an independent firm with 110 million in assets managed. Work closely with our broker/dealer Commonwealth Financial Network Inc. (NFS). Manage process for tracking all business and handling of paperwork. Facilitate compliance regulations and update for any changes. In charge of writing and maintaining the office systems manual for all policies and procedures. Use exceptional customer service skills to build relationships with clients. Solely maintain representative’s client appointment calendar, which involves detailed tracking, to ensure that all clients’ expectations are met by year end. In charge of finances for the firm using Quick Books to pay bills, reconcile accounts, and run financial reports for evaluating profitability. Exceptional knowledge in the probate process and requirements in settling estates of deceased clients. Having had experienced numerous requirements in ten years created an interest in learning the probate process from start to finish. Show less

Sole processor for top producing financial advisory team with over 55 million in assets under management. In charge of initial buys on new portfolios as well as monitor and adjust asset allocations on existing accounts. Calculate systematic withdraw on portfolios to fund distributions. Maintain client cost basis information. Act as liaison between financial advisor and clients, tax preparers, attorneys and wholesalers. Respond to all inquiries on statements, trade conformations, check… Show more Sole processor for top producing financial advisory team with over 55 million in assets under management. In charge of initial buys on new portfolios as well as monitor and adjust asset allocations on existing accounts. Calculate systematic withdraw on portfolios to fund distributions. Maintain client cost basis information. Act as liaison between financial advisor and clients, tax preparers, attorneys and wholesalers. Respond to all inquiries on statements, trade conformations, check requests, and stock quotes. Maintain appointment calendar. Assist with daily client meetings by account review, performance tracking and cost basis. Transcribe meeting notes to marketing software system. Assist with monthly client events. Provide total office coverage in absence of the representatives/owner. Show less

Assist OSJ financial planner in various aspects of establishing and managing client portfolios. Coordinate all aspects of processing investment documents with clients and issuers. Administer account redemptions, liquidations, transfers, re-registrations, and monitor accounts for correctness. Prepare valuation reports for investment portfolios. Certified Notary Public. Train and supervise the Computer Operator and part time assistants.