Customer Service Office
Resume:
Cassandra W. Durham
Marietta, GA 30066
*****-*******@*****.***
HIGHLIGHTS OF QUALIFICATIONS
** ***** ** ********** ** financial services in the area of representative support, customer service and operations.
Good communication skills for establishing rapport and professional relationships with client and co-workers.
Good knowledge of compliance regulations and able to communicate to others
Detail oriented to maintain a culture of compliance
Current licenses : Series 7, Series 63 and Series 24
PROFESSIONAL EXPERIENCE
AMG Financial Strategies, Inc.
Cambridge Investment Research, Inc.
2001 – Present Contact Bob Hardcastle. President 770-***-****
Office Manager/Executive Assistant for AMG President
Interact with 3 financial advisors and clients of the firm to complete client account service requests. Follow up with BD and investment companies to confirm requests have been satisfactorily completed
Assure that all Client Information forms required by the broker-dealer (Cambridge) to open new accounts are accurate and complete prior to submission. Provide or advise representative of all other documentation that needs to be presented at the time of account commencement.
Maintain up-to-date client and account data in the client information system for broker/dealer. This system is known as CLIC for Cambridge Investment Research
Process all investment company applications and checks making sure all is complete and the application and check are sent to the company in an appropriate manner (Fed Ex). Scan copies of all applications and checks to Cambridge B/D via CLIC Web-Capture system.
Responsible for accepting and executing trades in client brokerage accounts held at Pershing.
Responsible for maintaining in-house electronic files containing all correspondence and all documents relating to estate planning, financial advisory services, fees and investment accounts.
Receptionist for the office. Responsible for directing phone calls and knowing and greeting clients
Responsible for maintaining trade blotters, check blotters, securities blotters in a timely manner as required by the broker-dealer per FINRA guidelines. Responsible for having all books and logs available for audits.
Responsible for maintaining quarter end spreadsheets with values of clients Managed accounts (SEI and CAAP), variable annuity accounts and 401K accounts.
Assemble Quarterly financial performance reports by use of Ibico binding system and mail to the clients.
Responsible for ordering office supplies, flowers and seasonal gifts for clients. This involves maintaining the gift log as well.
Responsible for supervision of the office when the registered advisors are away.
Metlife Insurance Agency
1999 – 2001
Agency Administrator
Responsible for communications and production reports
Interfaced with securities marketing department in all phases of investment sales
Maintained compliance records for the office
Agency restructured in 2001
Creative Financial Group
1995-1999
Gathered and organized data for financial plan production
Communicated with clients on investment accounts status and problem resolution
Completed life insurance applications for policy issue with continuous monitoring until issue of policy
Responsible for written correspondence with clients including quarterly account performance letters
Longview Wealth Management
1987-1995
Operations back-office manager for office with 10 registered reps
Processed all securities and insurance sales.
Liaison between broker-dealer home office and branch office
Maintained filed, logs and blotters to meet FINRA compliance regulations
Obtained Series 7 and Series 63 securities licenses
EDUCATION
Auburn University
Wesleyan College, Macon, Georgia
Bachelor of Arts Early Childhood Education 1981
Securities Licenses 7 and 63
Securities License 24
COMPUTER SKILLS
Microsoft Word 2010
Microsoft Excel 2010 – limited
Microsoft Outlook 2010 - limited
Pershing Net X Pro
CLIC – broker-dealer program for maintaining compliance and suitablilty information for all client accounts, trade blotter and check/securities blotter
CIR Statements – Program for up-to-date client accounts information. Program used for compilation of reports showing present asset allocation and portfolio performance for a designated time period.
Contact this candidate