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Registered Client Service Associate

Stamford, CT, 06902
May 10, 2020

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Jill S. Romer

Stamford, CT ***** 203-***-****

Securities Professional with extensive expertise in Client Service Relationships.

Provide exceptional resolution of operational and portfolio issues. Series 7 and 63 licensed.


LIBERTY WEALTH ADVISORS, Stamford, CT. Contract (May 2019-Sept 2019)

Client Relationship Manager

Produced client meeting reports via Asset Book and Morningstar software tools.

Enacted client Adjustments to Allocation and Investment Recommendations based on Registered Investment Advisor’s, President’s request.

Designed, updated and revised spreadsheets for client meetings.

Assembled Morningstar investment snapshots for comparisons and recommendations changes.

Processed and reviewed firm’s monthly fee billing. Charged clients through NetX, Pershing and Cetera.

Entered and reviewed all trades, mutual fund conversions, and trade corrections.

Revised client’s financial risk models based on President’s request.

ESSEX FINANCIAL SERVICES, Southport, CT. (June 2018- Oct 2018)

Client Relationship Manager

Assisted two Registered Investment Advisors with all administrative and operational aspects of their business.

Worked in satellite office and responsible for organizing all compliance items, letters, marketing materials & deposits.

Prepared financial reports, spreadsheets and any other needed account information for client meetings.

Gathered investment information using The Black Diamond Portfolio Management System.

Resolved all client inquiries, fed wires, transfer requests, IRA account requests, and research items.

Ensured transactions were completed in a timely manner using Pershing, NETX360 & Fidelity’s clearing systems.

Provided exceptional client service. Supported company rules, compliance & audit requirements.

Participated in initiatives directed by home office and management team.

OPPENHEIMER & CO. INC., Danbury, CT (Oct 2017-June 2018)

Registered Client Service Associate

Assisted three Financial Advisors with all aspects of their advisory businesses.

Initiated and resolved all client inquires, trading requests, wires, transfers, & any account inquiries..

Coordinated new and existing accounts with any additional required paperwork.

Collaborated with home office management to ensure effective resolution to client and management inquiries.

Ensured transactions were completed within audit and compliance standards and timeliness.

Involved and responsible for the AML/KYC system, submitted and updated required information.

HERBERT J. SIMS & CO., INC., Fairfield, CT (1999- 2017)

Registered Client Service Associate – Account Executive FINRA registrations 7 and 63 licenses.

Assisted retail and institutional Financial Advisors in all aspects, total assets under management 300mm+.

Collaborated and assisted Financial Advisor’s with new taxable & non-taxable bond issues, underwritten by our firms investment banking department.

Resolved all client inquiries, trading requests, account balancing reports, transfers, wiring funds, & check requests.

Designed and prepared a projected monthly income report of bond interest, mutual fund, and equity payments, for client’s accounts.

Initiated and completed all transactions required to fully service client accounts i.e. paperwork, correspondence, client request fulfillment and special projects.

Managed any legal aspects including estates, trusts, tax, and probate resolutions.

Handled all life insurance paperwork and follow up with companies.

Income advisor, responsible for my own client base, commissionable sales of municipal bonds. Offered new underwritten tax-exempt bonds, secondary market securities, & private placements to accredited investors.



Assistant Service/Operations Manager- Financial Advisory Services, New York, NY (1998-1999)

Supervised wire operator and cashier employees in operations department.

Provided direct support & assistance to Service Manager, over 125 branch employees, including Financial Advisors, administrative personnel, Compliance Manager, and District Managers.

Resolved all manager and urgent leveled client account inquiries and office matters.

Approved fed wires, account transfers, trade corrections, purchases due, compliance issues and minimizing accounts with debit balances.

Assistant Service-Operations Manager - Greenwich, CT (1995-1998)

Provided Operations Management services for all CT, and Fairfield County Merrill Lynch District Offices.

Assisted Service Center Manager, Financial Advisors and Administrative Support personnel.

Approved fed funds wires, account transfers, trade corrections, reorg items to home office, purchases due and requesting extensions.

Travelled between district offices to fill in and assist branch personnel when employees were out of the office.

Operations Supervisor- Fairfield, CT (1991-1995)

Supported 30+ Financial Advisors, Administrative staff, and branch office management team.

Direct contact for inquiries and approvals for client accounts.

Resolved collection items, Reorg choices, client queries, federal wires & account transfers.

Approved and processed trades, and corrections.

Office contact for troubleshooting and any computer system upgrade programs.


American University, B.A., Business Administration, Washington DC

Majored in Finance.

Paralegal Degree, 2000, The Connecticut Institute for Paralegal Studies, Stamford, CT.


FINRA Registration: Series 7 and 63 licenses.


Microsoft Office Suite

Black Diamond Asset Management


AML/KYC rules and guidelines

Pershing LLC Custodian-NETX360 Platform

CRM-RedTail System

Microsoft Outlook

AssetBook-Portfolio Mgmt Software

Microsoft Word & Excel

Cetera Advisory Network

Fidelity Client Clearing & Custody Solutions

Morningstar & Bloomberg


Available upon request.

Contact this candidate