Ke Phu Email & Phone Number

Greater San Diego Area

• Provide day-to-day customer support escalated to the department regarding financial services including, but not limited to, equities, bonds, mutual funds, annuities, trusts and insurance.• Researches Equities and Fixed Income instruments for ongoing corporate actions, reorganizations and mergers.• Analyzes penny stocks and private company positions within account for management approvals• Provide weekly and monthly reports to Risk Management and Compliance departments for ongoing audits• Provides securities clearance/settlement support to the trading desk specialists• Reviews physical stock and bond certificates for legal transfers for negotiability and accuracy• Work with multiple institutions and depository trust companies on behalf of financial advisors to keep an open communication for customer serviceo Banks, Private Equities, Trusts, Insurance Entities and others

Greater San Diego Area

• Maintained excellent client relations when answering incoming phone calls and emails from Service Center and Financial Advisors regarding non-negotiable stock/bond certificates using effective verbal and written customer service skills. • Created letters/documents/mailings for advisors and clients using professional written communication skills.• Coordinate and train other members to effectively support the department during high volume/low staffing situations.• Conduct research on domestic and foreign securities and other investments to obtain financial data to determine their worth and values. • Participated in audits and quarterly box counts.

Greater San Diego Area

• Reviewed and processed with high accuracy over 1500 checks daily in a team. • Provide support to financial advisors and Service Center to ensure quality customer service. • Worked closely with leadership to discuss and implement process improvements (based on Lean Principles) for receiving and depositing a high volume of checks, resulting in streamlined operations and increased production. • Support other departments such as Custody & Margins -Quality Control as needed.

Bs Business Administration/ Financial Services, Business Administration And Management, General

Associate Of Arts And Sciences (Aas)