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Customer Service Manager

Chula Vista, CA
October 07, 2018

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Roxanne Hussong



University of Phoenix, Bachelor of Science in Business Management

USC, attended USC working towards MSW with a concentration in Global Business

FINRA 7, 24 & 63 Licenses


Bloomberg/Smart Office

Microsoft Word/Excel/MS Outlook/ QuickBooks/Dropbox

Problem Solver/Strong Analytical Skills/ Team Oriented/ Responsible/Accountable

Experience in Equity and Fixed Income Trading


Vector Financial (Independent Contractor-Temporary) 2017-2018

Transitions Associate

Opened new accounts through Pershing Advisory Services.

Processed account transfers/rollovers.

Repapered 200 accounts to transition from NPC to Sagepoint Financial Planners

Niagara International (Independent Contractor-Temporary) 2017

Transitions Associate

Aid new reps/financial advisors in opening and transferring account from old custodian to new custodian at Raymond James.

Educate the advisors and staff, not only to move their accounts and assets efficiently and effectively, but after the initial transition process is complete, that they can us RJ systems well with minimal assistance.

Lutz Wealth Advisors 2014-2016


Assisted 2 CFP’s in providing customer service to clients such as new opening accounts.

Serviced existing accounts, processed account transfers, set up clients on E-Money.

Updated monthly Morningstar reports, processed client trades wealth management platform.

Assisted in coordinating quarterly client luncheon events.

JPMorgan Chase 2014

Registered Client Associate

Provided Executive Administrative support to 3 advisors in 4 branches

Processed new accounts and investment trades.

Prepared quarterly reports.

Wells Fargo Advisors 2012

Registered Client Associate

Provided Executive Administrative support to three senior advisors, including managing travel, expense reports, calendars and correspondence.

Processed new accounts and investment trades.

Prepared quarterly reports.

RJL Wealth Management 2010 to 2011

Advisor’s Assistant

Assisted in servicing a book of 700 accounts by providing excellent customer service.

Opened new accounts, processed account transfers, wire transfers and check requests.

Place trades as needed for additional investments or to raise cash for distributions.

First Allied Securities 2008 to 2010

Compliance Advertising Analyst

Reviewed all advertising such as stationery, websites, newsletters, radio shows, newsletters and presentations for financial advisors.

Assisted in processing cash/non-cash compensation requests for seminar and marketing reimbursements

Reviewed and approved all due diligence meetings from various vendors/sponsors.

Commonwealth Financial Network 2007 to 2008

Transitions Associate

Responsibilities included facilitating transition to incoming advisors to Commonwealth.

Processed transfer paperwork.

Responsible for conducting web tours and forms tour.

Educated advisors on best business practices while in transition.

Foster Securities 2002 to 2007

Operations Manager

Responsible for overseeing day-to-day operations such as opening new accounts, processed equity, municipal bonds, and mutual funds trades.

Posted daily trades to track cost basis.

Processed account transfers, check requests and wire transfers.

Paid all company bills and completed payroll.

Arranged travel arrangements for President of company.

Ensured we were compliant with FINRA rules and regulations

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