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Service Representative Customer

Rutgers, New Jersey, 08904, United States
November 11, 2018

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David S. Schwartzbard • ** Raritan Avenue, Apt. E-4, Highland Park, NJ 08904 • 732-***-****

Client Service Associate • Data Research Specialist • Reporting Analyst

Strong abilities in financial information services, back office operation, and client support

Excellent administrative skills – organized, efficient, detail-oriented

Very analytical – research, data analysis and management and report writing

Client service – dedicated to responsiveness and achieving client satisfaction; good liaison

Troubleshooting – persistent at resolving client issues, problem solving and follow up

Financial Services – excellent understanding of the financial industry and information services

Skills • Technology • Tools

Software: Microsoft Access, Excel (V-lookups, If- statements, Pivot Tables, Macros), FileMaker, Lotus Notes, Outlook, PowerPoint, Tib Author, Microsoft Word, WordPerfect

Research Tools: Bloomberg, EDGARPro, FBSI, First Call, Access Disclosure, Hoover’s Online, ILX Systems, IRS Taxation, Moody’s, Reuters, S&P, Telerate, Tax Lot Accounting (TLA), X-TRACT, DST Systems (AWD, TA2000, Blue Zone)

Professional Experience

American National Stock Transfer/American Realty Capital Group, New York, NY 2013-2016

Investor Services Associate

Reviewed new account applications; established new accounts; completed investor purchases

Completed investor account maintenance requests; completed account transfers

Performed quality review and audit functions within a working group

Collaborated on processes and best practices within a working group

Provided feedback to the management of the Transfer Agent

Linium Staffing/Bank of America/Merrill Lynch & Company, Inc., Pennington, NJ

Reporting Analyst (April-August 2012)

Reported the status of a mutual funds class share conversion project in the Retirement Plans Division by editing and formatting RCMA Weekly Reports

Submitted weekly statistics to track weekly changes; tracked total assets and MMS (Moved to Managed Money)

Reported on the decrease in 11,777 TINs/Plans, 20,150 accounts, 5,290 FAs and total assets of $2.58B

Sedona Staffing/ Prudential Financial, Inc., New York, NY

Compliance Associate (June 2010-February 2011)

Researched, prepared and completed filings on the Prudential Licensing & Registration database

Tracked current and amended regulatory and filing requirements

Performed background verification on licenses in good standing

Aerotek/Bank of America/Merrill Lynch & Company, Inc., Pennington, NJ

Project Analyst/Wealth Management Advisory Desk (February-May 2010)

Fielded Wealth Management Advisory Desk telephone and e-mail inquiries from Financial Advisors

Assisted in point of call resolution; assisted with ASAP entries

Provided guidance and navigational support on Wealth Management tools and calculators

Veritude/Fidelity Investments/National Financial Services, LLC, Jersey City, NJ

Brokerage Service Representative; Tax Services Operations (January-May 2009)

Provided Sales Representatives, Advisors and Correspondents with clients’1099 tax information

Initiated requests for research items such as amending 1099 tax forms and updating cost basis on the Tax Lot Accounting (TLA) system

Fielded requests from firm’s High Net-Worth clientele and financial advisors with 1099 adjustment requests

Assisted branch office personnel with information on New Accounts issues

Interactive Data Corporation, New York, NY

Research Specialist, Qualified Dividend Income Project (November 2007-February 2008)

Performed extensive research through company websites, EDGAR, financial internet search engines, and direct contact with financial companies to compile Qualified Dividend Income information

Created a spreadsheet to include a security’s CUSIP number, the firm’s recognition of how methodology translates to how dividends are considered “qualified” and the link to the source used to determine the methodology

Corporate Staffing/Pershing, L.L.C., Jersey City, NJ

Tax Management Group Data Associate (April-June 2007)

Assisted in the completion of a database involving 2006 1042S filings

Updated the UBTI database for the 2006 tax year

Contacted general partners for missing K-1s and sorted K-1s

Adecco/Citi Smith Barney, New York, NY

Research Assistant, Tax Reporting Client Services Operations (February-April, 2008)

Tax Reporting/New Accounts Client Service Representative (November 2005-May 2006)

Researched and prepared Citi Smith Barney1099 documentation

Initiated clients’ and branches’ 1099 adjustment requests

Trained new hires on the research and processing of required documentation

Fielded 1099 telephone inquiries (40-60 calls avg. daily) from Citigroup Smith Barney clientele

Provided branch office personnel with information on New Accounts issues

Mellon Investor Services, Inc. Jersey City, NJ

Client Service Representative (September 2003-January 2004)

Resolved client issues by handling all incoming calls involving shareholder accounts

Handled inquiries ranging from account status and address changes to lost dividend checks and stock certificates

McCarthy, Crisanti and Maffei, Inc. (MCM), New York, NY

Research Specialist (July-October 2002)

Reported IPO, Secondary and Shelf filings via EDGAR from registration to pricing for MCM’s Bloomberg,

Reuters and Telerate screens

Reported newly issued convertible bond offerings

Reported and updated amended, postponed and withdrawn issues

Updated an internal database for equity, international and debt products

Source Media/American Banker, New York, NY 2000-2002

Research Specialist-Statistics

Researched and constructed league tables ranking the top commercial savings banks, bank holding companies

Worked with copy editors to ensure the accuracy of all published data; edited stock pages

Handled the research, reporting, receipt and preliminary editing of data from sources such as ILX Systems, First Call’s Analyst Consensus, Sheshunoff/Pratt Information, National Mortgage News and Lipper Analytic

Interactive Data Corporation, New York, NY 1996-2000

Research Specialist, ABS/CMO Data Collection

Researched information from prospectuses on all mortgage-backed and asset-backed security issues

Designed a spreadsheet to help manage, monitor and track all fixed-income securities issued in the market

from MCM CorporateWatch and Global Access Disclosure

Collaborated with the firm’s CMO evaluators to ensure consistency and accuracy in price and research data

Collected, researched and reported investor ratings from sources including Moody’s Investors Service, Standard and Poor’s, Duff and Phelps and Fitch Investors

Authored an operating procedure to facilitate the usage of the Access Disclosure system


State University of New York at Stony Brook

Bachelor of Arts in History; Minor Concentration in Business Administration

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