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

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.
• 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)