In a Start Up firm: Implementation, building, and managing operations procedures and products for a Ultra High Net Worth Wealth Management and Private Equity. - CRM software (e.g Salesforce), margin, trading, account openings, trading, compliance, client relations, reporting, ACH, wires, portfolio management, vendor negotiation, corrections, and other operations situations.- Proficiency in Microsoft Excel, Sharepoint, and a full range of Microsoft Office Suite products.- P&L and Quarterly Budgeting/Billing- Onboarding development and procedures.- Alternative Investment operations such as processing subscription documents and capital calls.- Team and task organization for project management and long term operational functions.- Sourcing and implementing third party vendor products.- Compliance, KYC, and AML.- CAT reporting and trade review- SQL basics- Domestic and International HNW Client and Broker Dealer Relations

Processing and implementing a wide array of customer and account services for small to High Net Worth clients, including:- Providing up to date information on account specifications, account balances, margin, performance, general tax information, and pricing inquiries- Aiding in development of Salesforce systems for account services and other CRM software- Communicating advanced knowledge of operational procedures, company policies, and investment industry principles to clients- Team leader for implementing new technologies for account services as well as assisting in the development of U.I design and feature updates- Drafting and processing Letters of Indemnity, complex trade corrections, and client communications- Mentoring and training of new team members and building the morale and efficiency of teams.- Processing and placing daily Equity, Mutual Fund, Fixed Income, UIT, Alternative Investment, and Option trades; including the calculation of specific valuations and proportionate amounts of held assets- Compliance, KYC, and AML

- Managed a blend of 100 new and existing clients, catering to the needs of High Net Worth Clients (those with investible assets with a minimum of $250k) and creating an understanding and connection with the Fisher philosophy and investment style.- Collaborated with investment team to accurately invest onboarding clients in model portfolios.- Advanced relationships with existing clients, leading to asset additions and referrals.- Created and presented various market, performance, and continuing education updates for clients.

- In the peak of COVID restrictions in NY, sourced new clients in an environment where I was prohibited from making calls, due to NY State of emergency laws, by creatively adjusting networking techniques. I used my determination to grow my client base in a pandemic marketplace, ranging from social media outreach to virtual seminars on investment strategies and products.- Utilized the expanded research and banking options offered by Merrill and Bank of America to create more personalized portfolios and wealth management plans for existing clients who moved with me from Edward Jones.

- Participated in EJ Financial Advisor Training program in Missouri and then returned to NY to leverage acquired knowledge and skills to begin prospecting my NY market. Clients consisted of middle class to wealthy working families and retirees needing advice and management personally tailored to successfully build and retain wealth in an area with the highest cost of living in the country.- Developed and maintained long term relationships with new and existing clients.- Managed clients based on personalized plans on a commission or fee based arrangement, building portfolios consisting of individual equity, funds, and fixed income investments. - Grew an empty office from $0 assets up to $25M AUM by leveraging my abilities in sales, marketing, and social networking skills with my personal determination to grow a brand new client base in a city I had no natural markets in. - Employed a wide variety of prospecting methods ranging from physical door-knocking (1000 doors a week), cold calling, paid marketing, and engaging in community events and local volunteer groups.