Financial Operations Analyst

PEGGY M. RING

*************@*****.***

**** * ****** ******

Arlington, Texas 76013

Cell 817-***-****

OBJECTIVE: To obtain a challenging position as a Client Service Associate/Sales Assistant/

Financial Planner Assistant/ Agent Service Representative utilizing my 27 years experience in the

financial industry.

FUNCTIONAL SUMMARY: In my experience as a Client Service Associate/Sales

Assistant, I was responsible for drafting all client portfolios/preparation of all new accounts, such

as Equity, IRA’s, Managed accounts, 144 stock, Employee Stock Option, DVP, mutual funds,

annuities and Lending/Credit Line. I communicated with clients regarding personal/financial

information with confidential purpose for customer needs to establish their investment accounts.

Answered all questions/troubleshooting retaining to client accounts. I explained all basic questions

and resolved any problems concerning accounts. I wired funds in/out of accounts and handled all

ACH transactions to completion. I placed trade orders as well. In my role as a Financial Planner Assistant,

I was responsible for ACAT transfers and followed up on full/partial tranfers to completion. I drafted all portfolio evaluations for client’s annual portfolio reviews, for the benefit of changing and reaching their ultimate investment goals. I gathered health insurance information, regarding insurance policies for clients and met deadlines for the distribution of all life, disability and long-term policies. I scheduled all meetings,

seminars and made travel arrangements for financial planner. In a Agent Service Representative

role, I handled all commission and hierarchy changes for insurance agents. I complied a Weekly

Termination Report to reflect the sales status of agents that did not reach estimated sales goals.

I have worked in a team environment and for several financial advisors at a time, and have been

reliable in helping with additional task with co-workers and assisted with receptionist relief and front

desk duties.

SKILLS: Typing 65 wpm, Microsoft Word, Microsoft Outlook, Excel, Powerpoint, Windows2003,

Internet, Access, ACT, Contact Partner, Sales Force, Bill Goode, Redtail, Morningstar Workstation, Managed Portfolios, E-Money, Bloomberg. Heavy phones, heavy Customer Service, heavy scanning, faxing and photocopying, receptionist relief, *Notary*.

EXPERIENCE:

2011- 2012 Abio Financial Group, Inc. ( Financial Planner Assistant/Office Manager)

*Assisted Financial Planner/Owner of firm

*Scheduled all client appointments for Financial Planner. Heavy phones/Heavy Customer Service.

*Set-up /Maintained all new accounts such as: Annuities, Life Insurance.

*Wiring funds, check requests, ACAT Transfers, Annuity surrender forms, RMD requests and IRA

Distributions.

*Paid office bills/Financial Planner’s personal bills, ordered office supplies and maintained office equipment.

2010-2011 American Financial & Retirement Services, Inc. (Financial Planner Assistant/Office Manager)

*Assisted a Partner of the firm (Top Producer)

*Handled heavy incoming customer calls, Heavy customer service (troubleshooting calls)

*Processed all account paperwork, such as IRA’s, Annuities, Life Insurance policies and IRA

Withdrawals, RMD requests, IRA distributions.

*Gathered all client information, regarding Life Settlement policies for clients and

Distributed all life insurance, annuities, and life settlements policies to clients

*Responsible for ACAT transfers and followed up on full/partial tranfers to completion

*Pay all office bills, Financial Planner’s personal bills, order office supplies, and maintain office equipment.

2008-2010 PMA/USA Conseco, LLC. (Agent Service Representative)

*Handled all commission and hierarchy changes for insurance agents

* Complied a Weekly Termination Report on sales status for agents.

* Maintained Organizational Chart ( ORG chart) for insurance State teams that consists

of all agents, district, regional and state managers.

2007-2008 Oppenheimer & Co., Inc. ( Sales Assistant)

*Assisted (3) Financial Advisors

*Maintained all new accounts

*Wired funds, ACH transactions

2005-2006 Harris Financial Group, LLC. (Financial Planner Assistant)

*Assisted ( 1) (Top Producer) Financial Planner

*Maintained all ACAT transfers

*Prepared all client annual portfolio reviews

*Executed the deliveries of all life, disability and long term policies.

1998-2003 UBS Financial Services, Inc. (Client Service Associate)

*Assisted (2) Financial Advisors

*Specialized in Municipal/Corporate Bond accounts

1992-1996 Everen Securities, Inc. (Sales Assistant)

*Assisted (5) Retail Brokers

*Maintained Managed Portfolios

1987-1992 Shearson Lehman Brothers, Inc. (Sales Assistant)

*Assisted (4) Retail Brokers

* Set-up all IRA, 144 stock and DVP accounts

1984-1987 Dean Witter Reynolds, Inc. (Sales Assistant)

*Assisted (6) Retail Brokers

* Mutual Fund Coordinator for the office

1981-1984 Lehman Brothers Kuhn Loeb, Inc. (Sales Assistant/Receptionist

*Assisted (4) Retail Brokers

*Set-up all stock/bonds accounts

*Answered a PBX switchboard

*Filed all S & P sheets, pink sheets, generated all new account letters

for the office

EDUCATION: 1994-1998 University of Texas at Arlington

1986-1988 Tarrant County Junior College

1978-1981 South Garland High School

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