Administrative Asst/Cust Svc

Venus Conklin

*** ** ****** **, ******, CO ****

720-***-**** **********@*****.***

SUMMARY

Even though I have not worked in an office setting for a while, I still strive to present my best effort in delivering myself. I have strong stability with a company because I adapt quickly. Skilled in oral and written communication, team leadership and relationship-building. Initiative-taking employee with desire to take on new challenges. Strong worth ethic, adaptability, and exceptional interpersonal skills. Adept at working effectively unsupervised and quickly mastering new skills.

SKILLS

Microsoft Office Suite Customer Service

Strong Organizational Skills Staff Development and Training

Quick Books & Quicken Team R elR ble and Resilient Goal Setting

Google Office Suite Navigational Systems and GPS

EXPERIENCE

Senior Branch Office Administrator, Edward Jones, 425 So Cherry St, Glendale CO, March 2010 to April 2022

Edward Jones business model is one Financial Advisor (FA) and one Branch Office Administrator (BOA) per branch as a team. The company is employee owned. The offices are divided into regions with 60 offices per region. St Louis is where home office is located.

The company has with five levels of performance, service strategies and competencies that each branch works every month, FF is Financial Foundations, CEI is Client Experience Index and DR is Deepen Relationships.

1. Create Clients (New Households) - Work with financial advisor to identify clients and prospective clients who have life events, missing beneficiaries, retired recently, family additions and schedule appointments.

BOA Rating Exceeding Expectations

BOA Actual Results/Comments

Every Mon we have our weekly meeting to review our branch goals, money dues and go over the coming week's meetings. We go over any new system changes to keep us up to date.

We got new PCs with Windows update early since Aaron's PC died.

We monitor the money dues, deepen relations, financial foundations and where we are in our review schedule. We moved 15 clients to the new home office service center In March.

Feb 2020 - FF= 89%, CEI= 406, DR= 87%

Apr 2020 - Ff= 83%, CEI= 403, DR= 84%

2019 We started CEI at 398 down to 377 in July back to 404 in Dec. we ended 2019 at 406

in Aug I touched base with five other BOAs to find out what their appt process were {see deepen relations}. Our processes are similar with a few surprises which I added to our process.

Before every annual review, I check the client out to see what service is not being used - Ach on demand (don't need for managed accounts) trusted contact, beneficiary, insurance, account access, cash, write it on the meeting note page for Aaron to ask. I make a note of what ls missing in the appointment and check after to see what has been

Jan - requested info from clients most did not send anything.

Apr - re-vamped email to send to clients asking for information - used BOA Client Service Review form.

Aaron wants to use MS list of what keeps you up at night - combination of both might be overkill.

Jan - 9 clients moved their SC 529 inhouse which met new accts and new swps to set up

Feb - RMDs were noted in all accounts (before CARES} - some are still taking, they need the funds.

Mar – we set up 3 new clients and did first month statement calls.

Apr – I have a score of 100% on correct paperwork submitted to HO.

Every month birthday cards are sent; we mail new client cards to new clients, referral thank yous, sympathy and get-well cards, when·we find out people need them.

FA Rating Exceeding Expectations

FA Comments

We have made some changes to our appointment process this year. Venus has done a good job of helping to adjust our process and giving feedback on what is and is not working.

2. Gather assets – Demonstrate our value proposition by setting clear expectations with clients and prospective clients to share requested documents (statements, insurance information, outside accounts, etc.) at least one week before their appointment.

On a monthly basis, schedule one appointment with a client or prospective client based on contact plans and clients coming due for reviews and/or on outdated Financial Foundation.

BOA Rating: Exceeding Expectations

BOA Actual: Results/Comments

When a new client comes on board, they are set up with a first statement phone call, birthday card and quarterly touches throughout the year. We don't discuss this with the client maybe we should.

7-19-19 - started emailing the agenda to clients for their meetings and sending a list of documents we would like 1o see to complete their financial foundation. No one has paid attention or sent us statements - only a few clients have sent me information.

7-19-19 –all portfolio calls are scheduled at the beginning of the month - 5 per day - Mon, Tues, Thurs throughout the month until all are scheduled

I print off the list of annual reviews due each month. 2 weeks before the first of the month, I send an email with the RTQ link to invite them

to start the process. 5 days later I call to set the appt, ask if they completed the Risk Tolerance Questionnaire. I call every 5 days until the appointment is set. Aaron will text clients who have not responded to help us meet our deadline. Jan 2020 Aaron changed the email to include the list of documents to me.

In July I asked four BOAs - what their appointment process was. We are all very similar with few exceptions. Incorporated a few new ideas. I revamped my SOPs so when I was out for five weeks due to surgery, the on call would be okay an gave a copy to Aaron.

I check the outside asset portion of the retirement account to see if we have updated information. If not I ask the client to provide it and update our information. I ask the client if they have life insurance privately or at work. On the employer retirement plan I ask what is their contribution, what is the employer’s.

FA Rating Meeting Expectations

FA Comments

Venus is working to implement strategies to get reviews scheduled well in advance. That being said we are still finding ourselves rushing for one or two appointments at the end of each month. rr HAS GOTTEN BETTER••• there Is just a little more tweaking to get where we want lt.

3. Deepening Relationships – Partner with FA to build an agenda and send to the client for 100% of appointments.

Prepare for each upcoming appointment by ensuring client information is collected and input appropriately (statement, life insurance, risk tolerance, monthly expenses, etc.) before the appointment, and FA is alerted to review items needing attention.

BOA Rating Exceeding Expectations

BOA Actual Results/Comments

(days) before the appointment, and FA is alerted to review items needing attention.

Jan 2020 - 42 appts, 7 agendas for annual reviews Feb 2020 - 23 appts, 0 agenda for annual review Mar 2020 - 27 appls, 13 agendas

Feb - RMDs were noted in all accounts (before CARES}

Mar - we set up 3 new clients and I did first month statement calls in April. Apr - I have a score of 100% correct of paperwork submitted to HO.

Jan - requested info from clients most did not send anything.

2019 appts

Jan - 44 appts, 12 agendas for annual reviews

Feb - 16 appts, 12 agenda for annual review

Mar - 18 appts W agenda. 12 appts w/o

Apr - 6 appt w/agenda, 0 wlo

May - 6 appts w/agenda, 11 w/o

June - 8 appts w/agenda, 11da, 8 w/o

July - 7 appts w/agenda, 12 w/o

Aug - 9 appts w/agenda, 11 w/o

Sept - 14 appts w/agenda 4 w/o

Oct - 15 appts w/agenda, 4 w/o

Nov - out of the office for surgery

Dec - 14 appts w/ agenda, 14 w/o

Jan - requested info from clients, most did not send anything.

Apr - revamped email to send to clients asking for informati011 --' used BOA Client Service Review form.

Aaron wants to use MS list of what keeps you up at night - combination of both might be overkill, need to review.

7-19-i9 - started emailing the agenda to clients for their meetings and sending a list of documents we would like to see to complete their financial foundation- No one has paid attention and sent us statements - a few clients have sent us insurance info and statements. We had Updated Advisory Agreements and Guided Solutions updates to be completed by 12/31/2019 in addition to our regular annual reviews. All were completed on time.

Sept Aaron started asking for CPA info from clients

FA Rating Exceeding Expectations

FA Comments

We have recently changed our process, thus we are in a learning stage. That being said Venus is working to send info to clients prior to meetings and get the information in the system to make the annual review process as valuable for all clients as possible. As we move forward this year, I expect that we will get lighter on the process.

4. Protection – Reiew upcoming appointments monthly and identify any clients who may have a preparing for the unexpected need that is not addressed (i.e. survivor needs goal not documented in Financial Foundation) and recommend the FA incorporate into this appointment.

BOA Rating Meeting Expectations

BOA Actual Results/Comments

Before every annual review, I check the client out to see what service is not being used - Ach on demand (don't need for managed accounts)., trusted contact, beneficiary, insurance, account access, cash, write it on the meeting note page for Aaron to ask. I make a note of what is missing in the appointment and check after to see what has been done.

FA Rating Exceeding Expectations

FA Comments

Venus has been focusing on adding 1 goal to every client... so if we have one we want two; two - we want 3 etc. This includes protection as well as other services and I think she has done a great job. Keep up the good work

5. Online Access- show clients how to find statements, how to track their retirement, education goals progress. Increase the number of relationships .

Increase the number of relations enrolled in Online Access to 80% over the next trimester·

BOA Rating Meeting Expectations

BOA Actual Results/Comments

2019 - Started in Jan at 63% ended the year with 76%. 2020 - started with 76% now at

Our branch is above other level 3 branches for online access.

6. CEI - Client experience indicator. Learn and integrate a new (system/tools/processes) to create more efficient client branch process.

BOA Rating Meeting Expectations

BOA Actual Results/Comments

We started CEI al 898 down to 377 in July back lo 404 in Dec. we ended 2019 at 406

Jan - we had 4 weekly meetings to go over goais and upcoming appointments reviews -

Feb - FF= 89%, CEl = 406, DR= 87%

Apr - FF= 83%, CE! = 403, DR = 84%

Need to improve customer satisfaction my performance - currently 80%

FA Comments

Exceeding Expectations

This is a moving target because if a client doesn't access the online systems with a little regularity they will lose it. Venus has done a good job of trying to stay on top of clients and keep them engaged in the access.

7. Regional Contribution – Aaron was a training leader for Level new-3. Our office was a legacy office for 3 new FAs to give them a start on their business.

Effectively ran the lunch and learn lunches for Edward Jones BOAs by scheduling meetings, ordering/paying for food and collecting notes from all the meetings, condensing down and distributed to the region - 60+ BOAs. Since Edward Jones is so spread out, these meetings were put together to help the region absorb and digest new procedures that were introduced. When I started with Edward Jones, we were using part DOS and part web systems. All systems were moved to the web by 2021.

Effectively participated on the Edward Jones regional leadership team - two different regions - we would get together 3 times a year to go over the current regional goals (new assets, FAs, etc.) and then help the branches meet those goals by supporting the BOAs. Once a region reaches 60 offices, then a reorganization is done to keep the branches in a manageable area.

Effective mentor for new Edward Jones BOAs

BOA Rating Meeting Expectations

BOA Actual Results/Comments

05/01/2019 - 05/01/2020

Kevin Mihok is a legacy in our office. both FAs are wonderful to work for.

FA Rating

Exceeding Expectations

FA Comments

Venus has been eager to help in the region prior to needing lo take a step back for health reasons. I have no complaints, and I know that when she is ready to help out again there will be an opportunity for her.

Gallacher Capital Management, LLC, May 1996 – October 2008, Greenwood Village, Colorado 80111

Kevin E Gallacher, RIA – 4 reps, 2 office staff, provided day-to-day client support and act as liaison between clients and reps, addressing client account issues and requests, such as trades, documentation, cost basis reports, and more

SUMMARY

Prepare and process insurance policy, investment, and asset transfer applications, established systems for conducting monthly client asset and insurance policy reviews for more than 300 clients

Perform monthly, quarterly, and annual accounting procedures, including state and IRS payroll filings

Transitioned client data such as investment and insurance policy information from a manual to web- based data base

Kept track of compliance CE requirements for 24 reps under the OSJ.

I held a series 7, 63 and Colorado Life Insurance licenses. Maintain and renew all state insurance licenses for the reps and RIA

Maintain process and documentation compliance with FINRA regulations, consistently passing annual broker/dealer audits with 100% proficiency; maintain ADV records via !ARD

Receptionist, Colorado Blvd Chiropractic, 1325 So Colorado Blvd Ste 022, Denver, CO- March 2010 to March 2022 – SATURDAY MORNING ONLY- Jeffrey Maen, DO ****@******.***

Greeted patients, made future appointments, printed and mailed billings to medical companies, made new files, answered patient record requests from attorneys and insurance companies.

LYFT AND UBER – March 2023 to July 2024

Every day I accepted ride requests from total strangers based on my current profile on the ride app. After 19 months of driving, I have given 4,252 rides and maintained 4.78 out of 5.00 rating; consistent rider compliments are friendly, helpful, and clean car.

Lyft Uber are ride share apps that allowed me to earn money while driving as a taxi substitute in the Denver area and download earnings daily. received tips from 80% of my riders.

Wellness/Health, Patient, University of Colorado Hospital, April 2022 - November 2022 Denver, CO

April 20, 2022, UC Health Hospital entered for right knee infection that took four (4) surgeries (one to take all the equipment out of the knee), drug regimens, would vac, brace, rehab, blood tests to cure this infection. The last surgery on Nov 8, 2022 showed the infection was gone and I was fit to go back to work.

EDUCATION & CONTINUING EDUCATION

•Adams City High School graduated June 1965

•Annual Training for FINRA Compliance – Edward Jones and Mutual Service Corporation – March 2010 – April 2022, May 96 – Oct 2008

•Pre-Supervisor Training, Cost Accounting, Management by Objective - The Gales Rubber Company - 1978

•Developing Supervisory Skills, Women on the Way Up - Mountain States Employers Council - 1977

•Purchasing Procedures & Policies - Colorado State University –1979

•Principles of Mangement, Accounting, Law – Metro State 1978-79

•During covid Jones gave BOAs access to systems from home – 2020

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