· Provide a range of episodic advice to TIAA participants regarding a full comprehensive financial plan.· Engage clients face-to-face via video chat and phone, while balancing inbound and outbound responsibilities.· Drive asset growth, retail product adoption, and lifetime income solutions.· Ensure a world class advisory experience as measured by Net Promoter Scores.· Assess a broad spectrum of client needs determine the most appropriate recommendation for the client (need for a full plan, episodic advice, and/or tailored individual TIAA investment and financial wellness needs (Managed Accounts, IRAs, Banking, Protection, Debt Management, etc.).· Make referrals to appropriate partners

· Supported clients and wealth management advisors in opening and funding accounts. (All retirement and retail account types. Self-directed and Managed.) · Brokerage SME, primary point of support for opening and settling estates, trusts, and inherited assets.· The last 2 years as a RST SME I utilized project management skills while supporting the development of a cross functional funding application with integration to UD Prime and Yes to Done. · Support and trained new and existing Rollover Specialists –provided upfront case review and procedural advice. Utilizing a “teach one to fish” approach and mindset. · Led team discussions, team huddles, and provide group training.· Met with inter departmental peers and managers to promote collaboration by utilizing continuous improvement strategies while also strengthening a team culture

· Provide advice to internal and external clients (WMA, CRC, IIS, and FCG consultants). Clearly communicated requirements to open, fund, transfer, and maintain TIAA-CREF self-directed or managed brokerage accounts.· Handle forty or more calls each day and managed multiple email boxes to provide point of contact resolution. · Advise best practices on utilizing brokerage accounts to achieve client’s overall financial goals. · Research the status of transfers/rollovers and evaluate the positions to determine eligibility for transferring.· Review forms received to determine if IGO (in good order) or NIGO (not in good order) status and communicated how to resolve.· Review regulatory reports to ensure compliant and mitigate potential fraud.· Identify trends and implemented solutions to improve communication and processing efficiencies.· Develop new NIGO transfer resolution process and utilized cross functional teams for implementation. · Team Lead - Brokerage Ambassador Program – Train/coach 8 internal field representatives.

*Series 7,6, and 63 *Licensed Producer of Life & Health Main Responsibilities:* Maintained relationships with internal and external wholesalers to stay abreast on market trends. Provided recommendations on positions and asset allocations to tenured advisors, new representatives, and clients. * Created and presented financial plans – Utilized Morningstar Workstation, Personal Planning Analysis, DST Vision, and NMCIR reporting.* Liaison for ACAT transfers and rollovers between clients, network office, home office, and existing firms.* Maintained fee based investment portfolio’s - from creation, implementation, reallocation, to annual reviews.Additional Tasks:* Administered retirement plans - (401k, 403b, & Simple’s) provided proposal requests, assisted in implementation, and answered participant questions. Generated new sales through partnerships with TPA’s, external wholesalers, and strategically marketing to those with mandatory RFP’s.* Provided quarterly annuity training for new financial representatives of the Denver network offices.* Maintained NML and fund companies marketing materials to stay compliant with SEC and FINRA.* Managed securities logs - created procedure manual on how to process trades and checks.

Managed relationship with clients, internal and external vendors (new and existing), and internal employees to facilitate large mortgage backed security trades.*Main point of contact for large investment banks to manage due diligence reviews for credit and valuation trades of mortgage backed securities. *Unique opportunity as a mini CEO-BA. Responsible for sales, IT, business development, accounting, HR, and operations management. *Maintained client, vendor, and internal staff to adhere to trade deadlines. *Internal input in development of business processes, products, and reports. *Reconciled invoicing at month end to tie out with corporate and client audits.

*Educate, advise, and consulted clients with financial needs; from retirement planning to strategic methods on how to finance debt. *Team and communication skills enhanced by partnering with Financial Advisor, Loan Officer, Small Business Professional, ADP, and Paymentech representatives.