Jon Barton Clu, Chfc Email & Phone Number

West Des Moines, IA, US

West Des Moines IA

West Des Moines IA

Commissions and advisory fee processing for entire broker-dealer, including trade review of equity, fund, and bond trades, annuity and LP/REIT applications.Data mining of multiple systems for FINRA, SEC, and Dept. of Labor exams.Cash-on-cash and performance reporting of funds and alternative investments for client meetings, including analysis and white.

Provide brokers and clients with exceptional service on contracts including fund options, tax questions, and review of complex rider features.Employee of the Month, November 2009. Proactively located system errors with rider calculations. New company procedures were implemented as a result.

Position DownsizedProvided marketing support, investment analysis and buy/sell recommendations for multiple advisors’ books of business. My recommendations reduced impact of market downturns on overall client portfolio performance. Liaison between investment banking segment, wholesalers, and sales team for alternative investments options. Position papers.

Brokerage based service center assisting clients, representatives, and OSJ offices with brokerage accounts, licensing, commissions, sales/trade review, product research and tax questions, as well as building financial plans. Assist with paperwork for brokerage and retirement accounts, suitability for insurance and annuities as well as exchanges and.

Position Downsized.Analysis and updating computer programs leading to more efficient data mining, increased quality assurance and improved product features. Drove the analytical processing from coding, quality assurance, and moves to end-user production. Coordinated with end-users to streamline transaction processing, completed projects on schedule, and.

Bba, Finance

Certificate, Programming Languages