•Supported the organization through acquisition of Sanders, Morris, Harris by Edelman Financial, ensuring a seamless transition for clients and brokers.•Opened 736 managed accounts in 2012 with net assets in excess of $92 million and 1156 managed accounts in 2011 with net assets of $173 million, ensuring documentation was completed and signed by clients, company principal and management, and scanned documents into Pershing and re-entered Lockwood setting-up fees and commissions. •Setup accounts on PORT, a portfolio evaluation system to generate performance reviews, and emailed brokers’ assistants account numbers, which enabled timely management of information.•Produced and sent copies of new account agreement, management agreement and privacy policy to client with “welcome letter”, which confirmed account accuracy.•Scanned all new account documents, including agreements, individual and corporate identification and account set-up information into LaserFiche for electronic storage and accessibility in the event of audit or request for information.•Generated and distributed quarterly performance reports, which consisted of approximately 12,000 pages, to individual clients providing a complete overview of account performance and assets.•Supported over 30 brokers and 20 sales assistants responding to inquiries and issues, providing timely solutions and technical support as needed to resolve concerns.•Provided support to “Managed Wealth President”, assisting with journals, checks, clients’ and employees’ needs, reservations and other activities in the absence Administrative Assistant during maternity leave.•Prepared hotel, flight and vehicle reservations for out of town clients and employees.•Opened and distributed mail for operations department, identifying proper recipient and ensuring the highest level of confidentiality.

•Demonstrated extensive diversity supporting overall operations during tenure, including working in operations, wire room, mail services, sales and cold calling.•Opened Retail, IRA and Managed Accounts entering information utilizing KYC (Know Your Customer) platform, supporting 70 brokers including a minimum of $10 million producers and the #3 producer for the company.•Notified sales assistants of completion of account set-up and account number, as well as transmitted copies of account agreement and “welcome letter” to client.•Photocopied original documents on all new account set-ups, maintaining copies for branch office and forwarded original documents to New York corporate headquarters for scanning and electronic storage.•Promoted to wire room, entering buy and sale orders for retail brokers, process trade corrections and order errors, and notified brokers of order executions.•Obtained approval for option trades over 100 shares from Operations Manager and called New York corporate headquarters for placement of the trade and advised of approval ensuring SEC compliance.•Received and reviewed trade confirmations and matched one copy with order ticket for client file and distributed one copy to broker and one copy to client.•Received and reviewed annual purge list, pulled closed account information and shipped information to off-site storage facility.•Received and opened all incoming mail for entire office supporting approximately 75 staff members, pulling checks, legal issues and complaints for immediate attention, and distributed remaining mail to appropriate parties in a timely manner.•Trained and supported wire room and cashier providing back-up support in producing checks, entering daily deposits, generated wire transfers and verifying stock received.•Served on Transition Team for ACAT transfers which prepared and sent-out documentation for transferring clients’ accounts for new brokers joining the firm.