• Successfully attained FINRA Series 7, FINRA Series 66 and FL 215 Health & Life including Annuities & Variable Contracts.• Supported Regional Branch Manager and a team of independent registered representatives with client management and administrative support. Primary focus on the retention and satisfaction of clients, as well as the growth of the client base.• Conducted client interviews to initiate and complete applications and documents to establish accounts specializing in sponsored 401(K) plans, individual retirement accounts, college savings and retail accounts. • Recorded client information in an internal database regarding customer files, financial transactions, and communications. • Provided customer service, answer inquiries for current and prospective clients, discuss market fluctuations, and resolve account problems.• Prepared investment proposals, perform research, transfer funds and process trade orders.• Responsible for the recruitment of registered representatives across the entire Woodstock Financial branch network.

Team Leader/Vice President - Branch Support Global Operations (2007-2014)