Warren Anthony Mckenzie Email and Phone Number

• Responsible for identifying and mitigating risks in the current lifecycle of client’s accounts by properly vetting accounts forcompliance.• Responsible for reviewing new onboarding and annual review of accounts via document processing and making sureaccounts comply with industry regulations, guidelines and standards.• Partners with branch offices in order to efficiently process and open new and to review established accountsannually.• Performs due diligence on all accounts in order to comply with all federal rules and regulations.

• Responsible for monitoring, reviewing and evaluating all processes handled by the Merrill Edge Service Resolution Teamensuring compliance to all FINRA, SEC, Firm Policies & Procedures and Team desktop procedures.• Reviewed all daily check deposit processes by Merrill Edge Service Support team.• Presented resolutions to further develop scorecard processes for more accurate grading procedures.• Composed monthly evaluation analytic reports to the Merrill Edge Service Resolution Team managers and team leads.

• Responsible for resolving the complex service needs of the Merrill Edge Advisory Center’s Premium client base. Increased overall client delight by providing exceptional service by consistently providing “white glove” service Recognized opportunities to engage an FSA for further client conversations.• Proactively managed existing service items to completion to ensure client satisfactions.• Provided thorough and valid information to support the Merrill Edge client experience.• Provided service contingency support to other phone gates including IC Service (client-facing).• Provided assistance with College 529, Guardianship and Power Of Attorney documentation for MEAC and MESD accounts.

• Delivered exceptional service to clients by answering general account inquiries and providing quotes and account balancesupon request.• Researched and resolved client inquiries.• Assisted clients with Merrilledge.com website usage and navigation.• Educated potential and existing clients about self-directed products and services.• Uncovered additional client needs, deepened existing relationships and referred clients to partner businesses