Customer Service Management

YAN GAO

**** ******* ******. *** *****, CA *****

Phone: 408-***-**** Email:******@*****.***

Summary:

A self-starter with in-depth knowledge of investment concepts, terminology, procedures, and

compliance regulations. Seeking a challenging career in the financial services industry where I

can effectively utilize my excellent analytical abilities and strong organizational skills.

Education:

• University of California, Davis, Bachelor of Arts, Economics

• Professional Licenses: Series 7, Series 63 and Series 65

Technical Skills:

• Adept with Windows business software: Access, Excel, Outlook, PowerPoint, Word, and Visio

• Internet resources and financial applications: BETA, Morningstar, and Bloomberg

• Languages: Proficient in Mandarin Chinese.

Professional Experience:

Investment Advisory Compliance Analyst at First Allied Securities - San Diego, CA (July 2009 to July

2010)

• Assist in developing and implementing internal controls review in accordance with SEC.

• Perform daily internal surveillances of managed accounts.

• Evaluate financial planning software exception requests and provide recommendations to the RIA

CCO.

• Work with the operations and marketing units of the firm to ensure positive advisor experiences

with product selection, new account opening, documentation, funding, billing, and performance

reporting.

• Act as a resource for advisors engaging in various types of investment advisory or fee-based

business.

• Prepared comprehensive reports showing analysis regarding financial impact for adviser

registrations.

Internal Sales Consultant at Advisors Asset Management - San Diego, CA (March 2006 to July 2009)

• Top-producing West Coast territory team member responsible for selling investment trusts using

an array of investments including closed-end funds, mortgage backed securities, taxable and tax

exempt municipal bonds, preferred stock, and alternative investment.

• Provided retirement planning, research and fixed income expertise to Financial Advisers.

• Educated and sold a variety of structured products such as indexed CD’s, absolute return notes,

and reverse convertible notes.

• Created and implemented personalized retirement portfolios for clients.

Advisory Service Analyst at LPL Financial Services - San Diego, CA (February 2005 to March 2006)

• Communicated fee-based policies and procedures to financial advisers.

• Exercised excellent business judgment in researching and resolving adviser issues.

• Used proprietary technologies to provide better business solutions to LPL advisers.

• Knowledgeable in all fee-based securities ranging from ETF to alternative investments.

Account Officer at TD Waterhouse - San Diego, CA (December 2003 to February 2005)

• Provided technical expertise and superior customer service to TD Waterhouse account holders.

• Assisted high net worth clients on equity trading and account management.

• Handled all risk management regulatory inquiries.

• Professionally trained clients on federal and state regulations as outlined by FINRA and the SEC.

Contact this candidate