Finance, EMT. Database updates, record keeping, heavy customer service

Susan A. Moseley / ph: 214-***-**** / email: *************@*****.***

*Goal: To gain full-time employment as a means of supplementing my Social Security income. Summary of Experience:

*Brokerage/Financial Services, fully SEC /state licensed with both Series 7 and 66 licenses. Handling financial transactions for clients, banking transactions via cross-platforms, and trading of securities.

*Law Enforcement, both as Correctional officer and as 911 dispatcher.

*Industrial Security/Special Access Programs (Secret /Top Secret clearance).

*Media/Public Relations as television journalist, anchor/reporter.

*Medical: Texas licensed EMT (exp)

*Talent Acquisition/ Recruiter

Employment:

2/2023-6/2025

Morgan Stanley- Lubbock, Tx.

Senior Registered Client Associate/Office Coordinator: Fully registered as Securities Representative and Investment Advisor. Supported Office Sales Manager and Senior Financial Advisor. Heavy client support with telephone and email, using proprietary systems, Word, Excel and Zoom. Solving client issues, sometimes under time deadlines. Goal of keeping clients happy using white glove service. Involved moving large sums of money, trading, fed wires, ACH to/from other financial institutions. Preparing weekly reports. Producing and distributing weekly calendar of events to office, managing and scheduling outside vendors for presentations to office.

1/2022-5/2023

Texas Department of Criminal Justice Region 5 Director’s Office-Plainview, TX. Talent Acquisition Advisor. Interview and assess qualifications of Correctional Officer applicants using criminal background reports, employment history, educational and employment histories. Acquire, plan and execute off-site job fairs and hiring events. 1985 -1988, 1997-2007, 2010 -1/2022:

Merrill Lynch-Dallas, TX.

Registered Senior Client Associate: Fully licensed as Securities Rep., Investment Advisor. Performing day to day operational assistance to multiple Investment Advisors. Includes all data base maintenance, gathering background information on new clients as required by Patriot Act. Executing trades in equity/fixed income markets for clients as needed, adhering to all SEC /FINRA standards and rules. Retired after 23 years.

2007-2010:

Southwest Securities Inc.- Plano, TX

Registered Sales Assistant

1994 -1995: State of Texas Health Department Lubbock, TX- Clerk (part time) Assisted with grant-funded program. Methodist Hospital-Lubbock, TX - Surgical coordinator/clerk 1991- 1994: City of Lubbock TX.

911 Dispatcher* Received incoming 911 emergency calls, ascertained severity and assigned priority per SOP. Gathered pertinent information as to situation, parties involved, weapons etc. Top priority was safety of officers assigned to calls and resolution of problem. Required ability to keep calm in high stress environment. Education:

Bachelor of Applied Arts & Sciences: (2014) University of North Texas. Additional Academic certificate in Rehabilitation Studies: (2014) University of North Texas Professional Training/Certification:

EMT training: Baylor Hospital-Dallas, TX (expired) EMT-P Training: Methodist Hospital/Care Flight, Dallas, TX.

(expired)

Securities Broker Registered Representative -licensed Series 7 Investment Advisor-licensed Series 66

Six Sigma Green Belt

CPR certified

TLETS/NCIC/TCIC certified

CHL holder

Skills: MS Office / Excel / Power Point / Photoshop (Creative Suite 6) / Salesforce / Medical transcription / Video Conferencing using Zoom/Teams

Additional Notes:

Merrill Lynch Mentor for newly hired administrative personnel. Merrill Lynch Mentor/compliance trainer for Financial Advisors fresh from professional training program. Post Sept 11th I proposed, initiated and produced photo ID badges for our entire office. At that time, we had approximately 140 employees.

• Received commendation for exemplary service from Emergency Services Director.

• Received commendation for meeting recruiting goals from Director of Recruiting/ TDCJ Region 5

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