Spencer Stephens Email & Phone Number

Washington, Dc, Us

Rockville Md

Provide functional and navigational assistance to member firms, bureaus, individuals, FINRA employees, and other customers who access data on FINRA databases. Respond to basic regulatory compliance and technical questions from internal and external customers. Provide feedback to management on observed trends and problems.

Fulton, Md

Followed up via phone and email on inbound, direct marketing leads using lead management software Velocify.Utilized mortgage lending software Lending Space to organize and evaluate customer applications, credit reports, financial activity and other supporting financial documentation to determine credit worthiness, calculate risk and provide tailored financial solutions.Followed company, federal, and state level compliance requirements regarding verbal and written disclosure… Show more Followed up via phone and email on inbound, direct marketing leads using lead management software Velocify.Utilized mortgage lending software Lending Space to organize and evaluate customer applications, credit reports, financial activity and other supporting financial documentation to determine credit worthiness, calculate risk and provide tailored financial solutions.Followed company, federal, and state level compliance requirements regarding verbal and written disclosure documentation. Resolved issues in a timely manner as well as collaborating with the customer and the internal processing and underwriting teams to ensure the loan application was within the Veterans Administration national guidelines as well as the company’s internal guidelines.Communicated progress to customers throughout the mortgage cycle from application to funding using record keeping client databases such as Lead Management to ensure excellent customer service and satisfaction that resulted in a 100% in-processing to close rate and a 30-day open to close timeline. Show less

Washington D.C. Metro Area

Assisted two advisors in growing their practices by helping with client acquisition and maintaining current customer relationships between financial advisors and their respective clients with follow up consultations that resulted in repeat business. Scheduled and participated in new client meetings in each stage of financial planning process including introductory fact-finding, applications for products, proposal and delivery meetings. Executed requests from current clients ranging from… Show more Assisted two advisors in growing their practices by helping with client acquisition and maintaining current customer relationships between financial advisors and their respective clients with follow up consultations that resulted in repeat business. Scheduled and participated in new client meetings in each stage of financial planning process including introductory fact-finding, applications for products, proposal and delivery meetings. Executed requests from current clients ranging from issues such as account payable information, insurance policy changes such as cash value withdrawals, and orders for investment portfolios such as deposits/withdrawals or asset allocation.Assembled numerous comprehensive investment portfolios using the DuPont analysis, ratio analysis and horizontal/vertical analysis that was in conjunction with a client’s specific financial situations including budgeting, risk aversion and retirement plans. Show less

Washington D.C. Metro Area

Built a holistic financial planning practice from the ground up with a natural and outside market dedicated to the values of understanding, serving and educating clients on issues related to their personal finances and wealth accumulation strategies. Created and presented proposals of holistic financial plans for prospective clients based on in-depth analysis of their financial documentation that included budgeting plans, and financial products to help with the clients short-term and… Show more Built a holistic financial planning practice from the ground up with a natural and outside market dedicated to the values of understanding, serving and educating clients on issues related to their personal finances and wealth accumulation strategies. Created and presented proposals of holistic financial plans for prospective clients based on in-depth analysis of their financial documentation that included budgeting plans, and financial products to help with the clients short-term and long-term goals. Show less

Washington D.C. Metro Area

Washington D.C. Metro Area

Aggregated data and reports from other chapter board members for the completion of monthly and annual performance reports of the chapters to the Regional Directors. Oversaw risk management issues such as joint professional events as well as the pledging process and ensured the compliance to national and collegiate bylaws for all members of the chapter. Designed and oversaw implementation of two case competitions that included over 30 participants as well as returning as an alumnus judge… Show more Aggregated data and reports from other chapter board members for the completion of monthly and annual performance reports of the chapters to the Regional Directors. Oversaw risk management issues such as joint professional events as well as the pledging process and ensured the compliance to national and collegiate bylaws for all members of the chapter. Designed and oversaw implementation of two case competitions that included over 30 participants as well as returning as an alumnus judge for two additional competitions. Show less

During this internship I became licensed to sell both Life and Health Insurance in Washington D.C. I worked jointly with the Senior Partner and Agency Brokerage Director by shadowing appointments and helping with day to day activities so that people could learn about the portfolio of products and financial services that MassMutual offers including: Whole Life and Term Insurance, Disability Income Insurance products, and Fixed Annuities.

Responsible for providing detailed information to the entire Kogod community about the Kogod School of Business, its' events, as well as general University information as well as assisting with building management, events, and evening scheduling