Sandra Loregio Email & Phone Number

Regulatory Supervision

• Manage client investment accounts and documentation
• Communicate regularly and build relationships with existing and new clients concerning investments and market concerns (inbound and outbound calls)
• Submit time sensitive buy and sell orders for Mutual Fund and Equity transactions
• Coordinate day-to-day operations in extended absence of Investment Advisor
• Display excellent time management and organizational skills to prepare and debrief branch of daily tasks, happenings and prioritization of operations
• Prepare monthly reporting and network with various departments

• Maintain client portfolio documentation and records
• Prepare Advisor for client meetings and fund representative meetings
• Submit buy, sell and switch orders for both Nominee and Off book accounts
• Open new accounts and review new client documentation
• Communicate with clients to troubleshoot online access issues, address various inquiries and confirm annual reviews
• Submit and follow up on insurance applications, estate documentation and external investment transfers

• Analyze and complete daily and monthly transaction database reports for approval
• Perform daily record keeping and account monitoring duties for monthly balancing
• Review weekly payroll and hour calculation along with submitted vacations
• Provide product/service information and problem resolution
• Complete mortgage, loan, investment and estate sales & documentation
• Refer portfolios for management and retention with strict confidence