Stephanie A. Baty
***** ****** **** **. *****, CA 92201
760-***-**** (cell)
ac8ndp@r.postjobfree.com
Summary of Qualifications:
Strong front desk managerial skills, greeting clients and servicing their account needs, including trouble-shooting and necessary follow-up for resolution
Telephone conference and calendar scheduling, as well as appointment scheduling
Financial industry management and administration experience with Registered Investment Advisory Firm, with emphasis in investments, retirement plans, Life/Disability Insurance, and account maintenance
Excellent working relationship with employer, co-workers and clientele
Extremely dependable and reliable, completing projects accurately and within scheduled deadlines.
Ability to work as a team player or independently
High volume and multi-task projects welcome; computer-savvy and ability to work a variety of office machines
Key attributes are professionalism, strong customer relation skills, organizational and follow-up skills, as well as self-motivation
Professional Experience:
All financial industry branch office operations for Registered Principal and multiple Representatives
Ability to interest clients in new sales pertaining to insurance products, REIT’s, etc.
Life and Disability Insurance Illustrations, application preparation, case processing and underwriting follow-up
Maintenance of all compliance-related books and records; successful in passing broker/dealer FINRA/SIPC annual audits
Agent Licensing establishment, renewal, and appointments for all 50 U.S. States in accordance with RIA, Securities, as well as Continuing Education tracking
FINRA, Broker Dealer, and branch office compliance regulations
Calendar, task, and meeting arrangements; commission tracking and follow-up
Brokerage Services to include account establishment, asset transfers, maintenance and termination
Preparation of investment documents, product literature, and compliance-required agreements for client meetings
Computer Software and Experience:
MS Word, MS Outlook Express, Excel, Windows Mail, Redtail CRM, Maximizer CRM, Skype IM, Docusign, Last Pass, Dropbox, CRM database for Estate Planning, Authorize.net (credit card data base)
E-Office Advantage, I-Station, Albridge and Wealth Monitor, NetX360 (all considered broker/dealer software), DST Vision (client account tracking software)
Certificate of Completion for Administrative Medical Specialist with Medical Billing and Coding + Medical Terminology
Employment History:
Client Admin Associate, Centaurus Financial, Inc., and The Estate Planning Team, Indian Wells, CA, 1-16 to 9-18
Branch Office Manager, Sterling First Financial, Palm Springs, CA - 6/9/2014 to 6/1/2015
Client Service Manager, Mentor Capital Management, Rancho Mirage, CA – 12/1999-2/2014
Background Experience:
Legal Secretarial experience, as well as assisting in Sales and Advertising for a major Advertising Firm; Proposal Coordinator for a Software Mainframe Company; various administrative temp assignments at large corporations, i.e., Waste Management, Time Warner.