Angela H. Nickens
Newnan, GA 30265 abiknp@r.postjobfree.com (H) 770-***-****
REGISTERED CLIENT ASSOCIATE
Providing proactive administrative support for Financial Advisors
REGISTERED CLIENT ASSOCIATE with extensive experience in the securities industry managing administrative
duties and customer support for retail financial advisors with approximately $1 million in combined annual
revenue production. Highly adept at strengthening client relationships with personal and proactive customer
service. Skilled in processing a variety of investment transactions including common and preferred stock,
mutual funds, annuities, managed products, alternative investments, municipal and corporate bonds, and stock
options.
CORE COMPETENCIES
Client Relationship Securities Processing Customer Service
• • •
Management SEC Compliance Organizational Skills
• •
Administrative Support
• Confidentiality
•
Securities Regulations
•
PROFESSIONAL EXPERIENCE
Morgan Keegan, Baton Rouge, LA 2000 - 2009
Registered Client Associate
Assisted financial advisors and their customers by opening accounts, transferring assets, placing unsolicited
trades, handling correct completion of required paperwork, resolving administrative questions or problems,
preparing and submitting claims for class action litigation, and organizing submission of managed account
documentation. Assisted in the financial planning process by preparing account reviews and asset allocation
recommendations, supplying tax information, distributing stock gifts, coordinating the exercise of stock options,
processing check requests, wiring funds, placing stop payments, processing trade corrections, updating cost
basis figures, and calculating retirement plan distributions. Administered personal and business investment
accounts including retirement, checking, custodian, education, estate, trust, alternative investment, 401(K).
Highlights:
Achieved 100% client satisfaction as reflected on client survey ratings.
Recognized with written and verbal customer commendations in appreciation of exceptional
service and supporting resolution of issues not originating at Morgan Keegan.
Identified sales opportunities and prompted Financial Advisors to contact clients.
Received commendations from brokers for providing excellent primary and back-up support
services.
Helped in the development of new financial advisors by educating them in the proper completion
of documentation to satisfy compliance regulations.
Hibernia Investments, Baton Rouge, LA 1997 -
2000
Jr. Broker
Met with clients to determine their financial position, resources, assets available to invest and financial goals.
Also, developed and maintained relationships with bank employees. Set appointments, resolved service issues
for
clients as well as providing support for Sr. Advisor.
Highlights:
Solicited clients for sale or purchase of mutual funds, municipal/corporate bonds, and preferred
stocks.
ANGELA H. NICKENS PAGE 2 OF 2
HSBC, Atlanta, GA 1989 -
1996
Operations/Sales Assistant
Assisted Financial Advisors by opening all accounts, entered all trades for the branch through a wire system and
confirming trades back at the end of the day. Handled any delivery problems for securities bought and sold.
Acted as a liaison between advisors and back office on various issues.
Highlights:
Received commendations from brokers for providing excellent primary and back-up support
services.
EDUCATION & PROFESSIONAL DEVELOPMENT
Computer Science Certificate – Delta College, Baton Rouge, LA
Securities Licenses – Series 7, 6, & 63
Insurance License – Louisiana Life & Health
TECHNOLOGY SKILLS
MS Word, MS Excel