Thomas Neumann Email & Phone Number

Waukesha, Wisconsin

Waukesha, Wisconsin

Southern Wisconsin

• Was dedicated Financial Advisor for all 7 southern Wisconsin bank branches
• Built a client book of business that focused on maintaining and growing AUM assets as well as leveraging insurance solutions to provide a holistic financial plan
• Coached and mentored bank branch teammembers to open up conversations with customers and refer them over to myself for financial planning

Pewaukee, Wisconsin

• Managed Affluent and High Net Worth client book of business
• Provided holistic financial guidance in areas of banking, credit and investing
• Referred clients to the appropriate Wealth partner through a complete needs assessment analysis

Menomonee Falls, WI

• Daily execution of Managed Accounts Equity and Fixed Income trading. Oversaw and optimized over $3 billion of AUM
• Reconciled client positions against model and executed rebalancing to minimize dispersion and drift
• Researched securities held in client accounts that are not held in associated strategy model portfolios
• Leveraged FactSet, Bloomberg, InvestorTools, UNIX, APL trading systems, Oracle: PL/SQL query database, proprietary MS Access optimization software, UBS: GIM2 trading platform, Fiserv MM, Vestmark, Fiserv’s OneView
• Partnered with internal institutional trading desk and Portfolio Managers to allow for best execution for all clients and monitor PM activity to mirror in the SMA/UMA accounts
• Maintained an accuracy rate that exceeded 99%

Menomonee Falls, WI

• Partnered with Equity Portfolio Management Teams on broker voting to establish annual commission budgeting
• Executed monthly trade commission reconciliation with soft dollar and CCA brokers used by the Equity Trading Desk
• Managed vendor services, contracts and payment for entire firm with a goal of cost reduction and efficiency. Maintained compliance with Section 28(e) of the Securities Exchange Act in 1975 regarding soft dollar.
• Processed an average of 700+ soft dollar invoices annually
• Generated and distributed weekly, monthly and quarterly commission and budget reports to various management levels and teams including compliance
• Directed CCA brokers to pay other brokers for execution and research costs associated with receiving proprietary market data and research

Menomonee Falls, WI

• Received and handled inbound phone volume from financial advisors, back office representatives and our own internal and external wholesalers
• Worked with transfer agent in resolving escalated client requests and inquiries
• Leveraged Morningstar Advisor to construct hypothetical portfolios and analysis
• Provided guidance around procedural inquiries for 529 and mutual fund trading, marketing tools, website navigation and merger related questions
• Assisted with Intermediary Sales Desk territory needs such as system reconciliation, arranging new marketing materials for top advisors and providing instant, up-to-date fund information

Menomonee Falls, WI

• Hired and managed a team of registered representatives that handled inbound call volume
• Maintained employee records and carried out performance evaluations, also implemented performance management when corrective action was needed or compensation management when performance was warranted
• Drove quality, accuracy and sales through regularly scheduled strategy sessions
• Delegated tasks to engage, motivate and build professional and personal development
• Managed the call center when technology impeded regular work flow that ensured compliance with applicable securities laws while maintaining high level, uninterrupted service to clients
• Partnered with multiple teams (compliance, human resources, marketing, management, operations, sales, training) to help facilitate the brand of the organization and guarantee all stakeholders had tools to succeed

Menomonee Falls, WI

• Handled escalated client service and transfer agent issues
• Expanded my interpersonal skills by working in a face-to-face environment with clients
• Lead a team of new hire representatives in order to ensure productive and seamless transition to new role
• Partnered with a call center team to assist in quality and accurate information sharing with our clients
• Executed transactions for the shareholders of the Funds lineup of Wells Fargo Advantage Funds, account maintenance and a relentless pursuit for superior service
• Vital part of team member development through trainings for product and industry knowledge along with being a leader for productivity and sales

Madison, Wisconsin Area

Bs, Economics

Hs Diploma, General Studies