Client Onboarding Business Management

SHERRY LOPEZ, ChFC®, RICP®

Email: ***********@*****.***; Cell 239-***-****

Relative Work Experience

November 2007 – Present Financial Consultant/Relationship Manager, Wells Fargo Advisors, LLC

•Successfully generates up to $250K annually in annuity commissions towards the team’s revenue.

•Researches and provides recommendations related to annuity vendor selection.

•Serves as a resource to FAs for plan analysis and comprehensive solutions for their clients.

•Assisting with marketing campaigns and seminars to grow FAs business.

•Providing quotes and entering & soliciting orders on FA’s instructions.

•Produces reports and databases per FA’s requests.

•Client onboarding specialist responsible for delivering value at first touch.

•Provides guidance on estate planning options and techniques.

•Reads and interprets technical and legal documents to apply information appropriately.

•Organizes, manages, and tracks multiple detailed tasks and assignments.

•Provides a high level of customer service in a calm, courteous and professional manner.

•Establishes and maintains effective working relationships at all levels of the organization.

•Works independently as well as collaboratively within a team environment.

•Performs all operational tasks and acts as a support resource for the rest of the team.

•Opening new accounts and ensuring required paperwork is current with firm and industry standards.

•Processing and following up on operational duties for proper maintenance of accounts.

•Interacting daily on the phone and in person with existing clients.

•Researching client and security information to handle inquiries and resolve account problems.

•Creating letters and preparing forms and spreadsheets to assist with servicing existing clients.

•Receiving and processing deliveries and payments.

•Establishing and maintaining files to meet regulatory requirements.

•Performing other duties and responsibilities as assigned.

Cultivate and enhance new and existing client relationships through active communication with clients, processing client requests, resolving inquiries, providing guidance and making sure key information and documentation remains current

Confirm authorization and authenticate client when processing requests

Onboard and maintain client accounts, including collecting client information and required documentation, capturing and assessing risk, processing money movement transactions and handling estate needs as examples

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Partner with Financial Advisor(s) in developing a business plan and delivering against a client service model

Perform administrative duties that support Financial Advisors in daily business practices, including but not limited to, telephone coverage, business travel arrangements, coordination of client meetings, prepare travel & expense reports, and file & calendar maintenance

•Provides plan design review and third party plan administration recommendations.

•Assists with evaluating overall individual and employer based retirement and investment needs, researches various options and provides planning alternatives.

•Designs and prepares presentations and portfolios recommendations.

Credentials

•FINRA Series 7 License

•FINRA Series 66 License

•Florida Life, Health and Variable Annuity Insurance License

•Chartered Financial Consultant ChFC®

•Retirement Income Certified Professional RICP®

•BA in Business Management, Grantham University

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