Experienced Wealth Advisor and Team Lead for Immediate Hire

Lauren E. Francis

925-***-**** ***********@*****.***

Decisive with strong problem solving and analytical skills with a demonstrated and proven talent for accurately identifying, scrutinizing, improving, and streamlining work processes.

Exemplary time management and organizational skills with the ability to prioritize and execute complex projects in a timely, efficient manner while maintaining accuracy and close attention to detail; flexible with a positive attitude.

A motivated, self-starter with the ability to work independently or as a team player to achieve exceptional results and meet management criteria; ability to lead, direct and successfully manage small teams.

Outstanding communication and customer service skills; successfully develop and build lasting relationships; excellent verbal, written, presentation and media skills; an effective listener with a desire to learn in order to anticipate future trends and adapt proactively.

SKILLS

Series 7, Series 66 Licensed

Expert: Microsoft Word, Outlook, Excel, PowerPoint, ACT! CRM Software, Salesforce, Adobe Acrobat, Illustrator, Web Analytics, HTML, QuickBooks, Morningstar, LinkedIn

PROFESSIONAL EXPERIENCE

Morgan Stanley, Pasadena, CA August 2015 – May 2025

Financial Advisor Trainee/Wealth Management Associate

Synthesize client and prospect data to develop customized financial plans/asset allocation proposals utilizing the Firm’s proprietary software.

Develop, implement and monitor strategies to execute the team business plan to achieve desired goals and results on an ongoing basis.

Responsible for optimizing business practices and implementing strategies to enhance efficiency and effectiveness of the team. Create & enforce best practices tailored specifically to the team.

Utilize firm proprietary software, tools and approved resources to procure tailored, unique solutions to complex financial situations.

Manage the onboarding of new clients, develop the initial relationship and establish lines of communication and processes to ensure the clients’ needs and expectations are clear and met. Set the foundation for a successful, long-term partnership.

Oversee the onboarding and training of new hires, provide them with the tools and knowledge necessary to identify their personal goals while contributing to the overall success of the team.

Develop and foster business relationships with centers of influence (CPAs, Attorneys, Tax & Estate Planning Specialists, etc.).

Manage & execute mortgage, lending and insurance tasks.

Manage contact management database to ensure proper documentation of all client interaction/activity, per industry regulations.

Raymond James & Associates, Coral Gables, FL December 2011 – July 2015

Registered Client Service Associate & Practice Coordinator for the Starner Group of Raymond James

ACE (Associate Committed to Excellence) Award Winner

Responsible for building, maintaining and supporting relationships by providing high quality financial services to Financial Planning clients and prospects.

Managed and processed all operational tasks for the Starner Group of Raymond James which has $600 Million + under management / Managed junior sales assistant on team and interns/temporary workers.

Processed and followed up on client documentation for proper maintenance of accounts.

Responsible for the daily coordination and processing of wire transfers, security and foreign currency transactions, credit draw downs/pay downs, letters of credit.

Interacted daily with internal departments, such as compliance, legal, margin and corporate actions, to maintain client accounts in good standing. Process individual, joint, 529, corporate, IRA, 401(k), and proprietary trust accounts.

Lea Journo Cosmetique, San Ramon, CA April – August 2011

Regional Sales & Marketing Manager

Manage marketing and sales in Florida Macy’s Impulse Beauty stores

Oversee, train, and manage sales representatives

Liaison to Public Relations Firm

EDUCATION

University of Miami, Coral Gables, FL

Bachelor of Business Administration, May 2010 / Major in Business Management, Major in Marketing

GPA: 3.5; Provost’s Honor Roll, Dean’s List

University of Sydney, Australia

Study Abroad, Spring 2009

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