KIRSTEN PERMENTER

**** ******* #***

Houston, Texas 77042

281-***-****

Qualifications

Over thirty years of experience covering many facets of the financial

industry. Strong administrative skills that significantly increases office

productivity along with the ability to work well under pressure, with

minimal supervision, while utilizing extraordinary multi-tasking skills,

which enables me the ability to create, implement and maintain a system of

prioritizing assignments, allowing for an efficient workflow.

Summary of Experience

Positions have ranged from an Office Manager, Operation's Manager, Branch

Manager's Administrator, to a Junior Broker/Investment Associate/Assistant

and Commodities Trader,

Professional Experience

UBS Financial Services, Inc. February 2012 - Present

5065 Westheimer Road, Suite 1000

Houston, Texas 77056

I was the exclusive assistant to a husband and wife team through February

2014. I had heavy client contact to ensure all aspects of their needs were

met efficiently and in a timely manner. I engaged regularly with client's

CPAs as well as their Attorneys if the need arose. I prepared performance

reports for each review meeting the financial advisors scheduled with

existing clients.

From March 2014 until present I have been splitting my time as the

assistant to a two partnerships, generating approximately $4MM in annual

gross compensation with the additional duty of covering the

operations/cashiering duties of the cashier while she is out on extended

medical leave. My operations duties included but were not exclusive to the

following:

Opening the incoming mail, ensuring compliance regulations were followed in

handling of ALL client correspondence.

Making the deposit of all checks to their designated accounts.

Ensuring proper handling of all "local check pickup".

Scanning in all documents to their proper destination on a daily basis.

Keeping the vault Excel log updated daily and sending it to our Operations

Manager.

Personally greet clients coming in to make deposits and giving them

receipts for their checks.

Completing the branch deposit on time daily.

Checking outgoing correspondence for compliance copies and ensuring they

were reviewed prior to filing for auditors to review.

Handled the outgoing mail by running through the postage machine and

ensuring it is delivered to the mail station on time daily.

Covering the switchboard operator as needed.

Booking the office calendar for breakfast and lunch meeting the Wholesalers

were hosting which included ordering lunches for each meeting.

Ford Investment Management, LLC August 2011 -

February 2012

4119 Montrose Blvd., Suite 460

Houston, Texas 77006

Office Manager/Sales Assistant

Ford Investment Management, LLC is new start-up independent firm using and

clearing through LPL Financial. Office Manager and Sales Assistant to the

founder, Bo Ford. Office was closed and merged with another partnership

late February 2012.

Office Management

. Created and implemented office management infrastructure,

including documentation and data configuration management processes.

. Created and implemented compliance processes necessary to

ensure compliance with financial industry requirements.

. Maintaining Quick Books

Registered Sales/Administrative Assistant

. New account, transfer and document processing

. Ensured client satisfaction through heavy and constant contact

with current and potential clients.

Barclay's Wealth Management

1301 McKinney Street

Houston, Texas 77010

Analyst

June 2010 - August 2011

. Assistant to Operation's Manager, Starla Kramar.

. Our department covered the Houston and Dallas' High Net Worth

Advisors and their Assistants

. Back-up Operations for San Francisco

. Directly approved ALL outgoing wire transfers

. Daily trade blotter review

. Processing and approving all incoming and outgoing

correspondence

. Scanned and logged in ALL account documentation and ensured

approval of said documents

. For the Advisors without assistants, provided sales assistance

when needed

. Cashier

. Back-up trade processor

Green Financial Group, LLC

6363 Woodway Drive, Suite 870

Houston, Texas 77057

Office Manager/Registered Sales Assistant June 2009 - June

2010

Green Financial Group is an independent investment firm using and clearing

through Raymond James & Associates platform. Office Manager and assistant

to the Founder, Jeff Green, two additional Principles and one Financial

Advisor. Within six months of taking position received outstanding first

audits of all three branches.

Office Management

. Created and implemented office management infrastructure,

including documentation and data configuration management processes.

. Created and implemented compliance processes necessary to

ensure compliance with financial industry requirements.

. Responsible for the front office reception staffing, ordering

of office supplies, maintenance of office equipment and any other

tasks related to the day to day operation of the office to ensure it

operated efficiently and productively in all areas.

. Administrator for three separate branches housed within the

same office. Maintained separate branch record keeping systems;

ensuring each branch's files were maintained in accordance with

corporate and compliance policies and procedures.

. Daily review and monitoring of compliance reports for each

branch. Open, screen and distribute mail and faxes, identifying and

ensuring proper disposition of correspondence in accordance with

compliance procedures.

. Handled basic bookkeeping responsibilities for the founder,

Jeff Green and maintenance of Excel Spreadsheets for personal and

professional Accountants.

. Processed invoices and checks for payment of services.

Provided detailed monthly billing to each branch.

. Calendar and conference room coordinator. Organized the menus

for all breakfast and lunch meetings.

Registered Sales/Administrative Assistant

. Securities Trading

. New Account opening and documentation processing

. First point of contact for clients

. Took independent action on handling requests to determine the

appropriate course of action

. Coordinate the compliance approval and distribution of web, e-

mail and paper marketing of news material for clients and prospects

. Coordinate and administrate birthday presents, wedding

anniversaries flowers and annual holiday card mailing for all

financial advisors

. Copy or scan, collate and bind documents/presentation packages

. Maintenance of all copied, filed and scanned documents

Fruth Investment Management, Inc. June 2008 - Present

Registered Administrative Assistant

Assistant to the Owner/President, the technical analyst and the firm's

Compliance Officer/Office Manager. In charge of opening the office each

morning and completing the firm's downloads and reconciliations from TD

Ameritrade and Charles Schwab. Reviewed client files for total compliance,

documentation and scanning. Began a comprehensive manual of administrative

procedures for the office manager and was instrumental in having ACT

installed the fall of 2008. Assisted the office manager with the completion

of the quarterly reports, billing, reconciliation, fee payment and sending

out each quarterly client letter. Responsible for screening all calls,

being the first contact with clients and potential clients. Completed all

administrative needs that arise; from opening accounts, estate settlement,

check/wire requests, tax information and researching all inquiries.

Interfaced with TD Ameritrade and Charles Schwab's Portfolio Center

software and back-office personal. Enter trades and allocation of trades.

UBS Financial Services, Inc. March 2004 - May 2008

Senior Registered Client Service Associate

Assistant to two Vice President - Investments, and one Associate Vice

President - Investments. Responsible for all administrative aspects of

being an assistant with the additional duty of both commodity and security

trading. Heavy and constant contact with current and potential clients,

while responding efficiently and promptly to client inquiries, requests and

concerns both verbally and in writing. Available to less seasoned

assistants for questions or training. Worked with the dedication of

providing the highest quality of service in partnership with the financial

advisors and clients, to define their current and future needs with the

understanding that client service is the core value of the business.

Edward Jones August 2003 - January

2004

Registered Administrative Assistant and Office Manager

Heavy client contact both by phone and by walk-in. Responsible for all of

the day to day operation's management Booked appointments, assisted with

presentations and account opening and maintenance. Completed daily banking

receivables, payables and balancing of office accounting and reported it to

the home office on a daily basis.

Morgan Stanley August 1999 - August 2003

Registered Sales Assistant

Ensured client satisfaction through heavy and constant contact with current

and potential clients. Performed assistant and administrative duties in

addition to trading. Lead contact for the Cashless Stock Option Exercising

for two large, local Texas companies. Responsible for processing all stock

option exercise orders and paperwork. For Executives also completed and

submitted Rule 144 documents to the exchanges as deemed appropriate by the

SEC. After 9/11, instrumental in obtaining replacement certificates

destroyed when vault fell through to basement of building.

Licenses

Series 7 & 63

Series 3 - Commodity License

Rule 144 and Cashless Stock Option Financing

Technical skills

In-house brokerage systems, Microsoft Office Suite, Windows applications,

Word Perfect, ACT, Microsoft Outlook, Microsoft, Power Point, Quick Books

and Lotus Notes

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