Ken Yee, Cim® Email & Phone Number

Canada

Toronto, Ontario, Canada

• Provides professional advice to inbound call clients regarding investment inquiries on Mutual Funds and Guaranteed Investment Certificates (GICs)• Uncover sales opportunities that form part of my referral pipeline for future growth with RBC IRPs• Demonstrates commitment to provide an exceptional client experience, winning client loyalty on every call by following the client experience guide• Asks relevant financial questions, engages with clients to strengthen client relationship• Focuses on active listening and helping clients by responding empathetically and assisting them to resolve their immediate investment needs• Works closely with clients by providing financial reviews, discussing portfolio updates and recommending additional solutions based on their goals using MyAdvisor• Empowers clients by digital education and navigating self-serve mobile and online banking tools, calculators and resources

• Contacted clients proactively to identify needs and potential opportunities in an inbound / outbound call-center• Completed personalized needs assessments; reviewed with clients to demonstrate value and support recommendations• Provided insurance advice and solutions to clients based on their needs• Demonstrated the ability to connect through discussion and resolved client concerns at the point of first call

• Achieved the highest Sales Ratio / AUM and accounted for over 50% of all new account openings • Proactively interacted with clients, identified potential opportunities and uncovered clients’ needs for RRSP and TFSA accounts• Thoroughly explained the benefits of Segregated Funds and how they can complement clients’ portfolios• Prepared the Suitability Tools with clients and recommended the most appropriate Fund for their portfolios

Toronto, Canada Area

• Provided sales coverage for U.S Global Investors (Texas) through analysis of fundamental and technical information, gathering key data and offering comprehensive evaluations to meet clientele’s objectives• Contributed to the management and development of a Financial Advisor’s high net worth clients by providing pre / post trade analysis and solutions to client’s account inquires / issues• Generated additional revenues through analysis of clients’ needs and cross-sold other asset classes• Contributed to client portfolio analysis by providing market intelligence / stock information / research• Accurate securities order execution (equities / mutual funds) as per clients’ instructions• Resolved client concerns in their trading accounts including trading issues / errors / Re-Org / missing dividends• Followed up on stock settlement issues through CDS / DTC• New Issue / IPO Associate: Distributed deals and reflected client interest through NBCN or directly to the Lead Underwriters, ensuring all compliance measures were met in addition to the final allocation of allotments• Daily review of trading tickets and inventory accounts to ensure compliance with industry standards and regulatory requirements• Assisted in the preparation of several intra-day research reports including “The Morning Call / Hot Stocks and Index ETFs”

• Provided critical analysis during the Morning Call on prior day’s trading flow, relevant industry commentary and dissemination of global research and news flow• Utilized various hedging strategies and traded institutional swap orders and OTC transactions for the ARB desk in New York• Achieved “best execution” by analyzing market conditions and made decisions on best algorithms trading strategies, resulting in repeat block orders from fund managers and institutional asset managers • Executed portfolio rebalancing orders to keep the ETF’s holdings values in line with the underlining portfolio basket

• Supported and developed the coverage team by providing market insight and trading services to their execution relationships • Constructed portfolio baskets and implemented PM’s trading strategies • Provided intra-day analyze on markets, block trades and pertinent market news

• Executed securities orders accurately (equities / options / fixed income) as per clients’ instructions• Reviewed Canadian and US trading blotter against tickets daily• Responsible for Correspondent Network trading and North-bound orders from the international clients • Ensured all activities were carried out within “KYC” and IIROC guidelines

Bachelor Of Administration

• Financial Planning 1 (Fp1)

• Personal Financial Services Advice (Pfsa)

• Investment Fund In Canada Certification (Ific)

• Life License Qualification Program (Llqp)

Cim® ( Chartered Investment Manager )