Financial Services Office Manager
Resume:
LINDSAY
MORGANSTEIN
Registered Financial Services Professional
PROFILE
Financial services and investor
relations professional. 12 years of
financial industry experience
supporting executives and their
business.
Active FINRA securities registration.
Series 7, Series 66, AZ Life & Health.
Formerly Series 65.
Technically proficient on Microsoft
Office, CRM software and trading
platforms (T1 and TWS). Strong in Excel
and Power Point. Learn new systems
quickly.
Experience leading and training staff
to support multiple advisors.
CONTACT
PHONE:
WEBSITE:
www.linkedin.com/in/lindsayrose
EMAIL:
*************@*****.***
HOBBIES
Yoga
Family
Friends
WORK EXPERIENCE
Ameriprise Financial, LLC Registered Operations Leader Aug 2021 – Present
Managed 11 staff members of the Phoenix branch office. Partner with branch manager to support the branch and its advisors; handling compliance, marketing, business development, planning, scheduling, branch meetings, training, hiring, and relaying corporate initiatives. Support key advisors’ book of business by providing operational and client support involving everything money movements, RMD calculations, estate settlements, and new client onboarding. Anacapa Advisors, LLC Office Manager, Investor Relations November 2020 – July 2022
Provided operational support to the fund manager of a hedge fund. Built out file management system via Microsoft Teams and SharePoint. Processed payroll and handled billing and invoice processing. Worked with the fund administrator, Opus to submit new investor funds and distribute reporting. Worked with CPAs and attorneys to develop an offshore sleeve. Hired and train new employees.
Robotic Trading Advisors Investment Advisor Rep and Office Manager March 2013–November 2016
Executive assistant to the Principal and Owner; handled client relations, compliance, licensing, and the drafting and filing of firms’ internal books & records. Worked with clients and prospects to explain firms’ services, determine appropriate investment options; based on clients’ investment objectives, risk tolerance and overall financial picture as well as specific account goals. Created workflow procedures for new advisors. Trained advisors on new client processes and required documentation. Filed updates with the SEC. Utilized a CRM to record investment notes, client correspondence and calendar events. EDUCATION
Scottsdale Community College
2002 - 2004
3.6 GPA, performed with jazz dance ensemble, SAJE. Corona Del Sol High School
1998 - 2002
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