Brokerage Operations & Client Support Specialist
Resume:
Royale Dickey
Gaithersburg, MD 20877
*********@*****.***
SUMMARY OF QUALIFICATIONS:
Excellent customer service skills with a strong focus on accuracy, problem-solving, and proactive follow-up to ensure client satisfaction and operational efficiency.
Proven ability to perform under pressure in fast-paced, time-sensitive environments.
Strong interpersonal and communication skills, enabling effective collaboration with individuals at all organizational levels.
Ability to understand client needs and respond effectively
Skilled at identifying issues and providing timely, accurate solutions.
Understanding and addressing client concerns with patience and professionalism.
Ensuring accuracy in transactions, documentation, and client interactions.
Adjusting quickly to changes in processes, technology, or client needs.
Using CRM systems, financial platforms, and communication tools effectively.
Extensive knowledge of RIA and BD platforms, including Pershing LLC, Pershing Advisor Solutions, Fidelity Institutional, Charles Schwab, Wells Fargo, and National Financial Services (NFS).
Professional Experience:
Osaic Wealth Management
Rockville, MD
Sr. Brokerage Operations Specialist
2021-2024
Assisted in implementing revised asset movement forms and policies during the transition from Advisor Group to Osaic Wealth Management, streamlining processes to enhance financial representatives’ experience.
Researched and resolved asset movement and new account inquiries for offshore colleagues, ensuring accuracy and compliance.
Managed the transfer of internal accounts from NFS (National Financial Services) to Pershing during organizational transition.
Delivered exceptional customer service to financial representatives/advisors regarding asset movement and new account inquiries.
Processed incoming checks for deposit into various client accounts, including Individual, Joint, IRA, Trust, and 401(k).
Initiated and processed FED wire transfers, journals, check disbursements, scheduled IRA distributions, DTC requests, cost basis adjustments, and ACH contributions.
Opened and maintained new accounts, ensuring compliance with regulatory standards.
Executed incoming and outgoing account transfers with precision and timeliness
Wells Fargo Advisors
Rockville, MD
Financial Advisor’s Assistant
2016- 2019
Supported a financial advisor in managing client accounts and operational processes for Wells Fargo.
Accurately processed asset movement requests, new account openings, and account transfers in compliance with firm policies.
Maintained and documented client interactions using the SmartStation CRM platform to ensure seamless communication and service delivery.
Coordinated mailings for quarterly performance reports and client appreciation gifts, strengthening client relationships.
Scheduled meetings, conference calls, and managed travel arrangements to optimize advisor productivity.
Prepared and delivered monthly status reports, providing clients with clear and timely updates on account performance.
Delivered exceptional client support, contributing to improved client satisfaction and retention.
Spire Investment Partners McLean, VA
Financial Advisor’s Assistant 2013- 2015
Delivered comprehensive client support to a team of financial advisors, ensuring exceptional service and satisfaction.
Assisted advisors with account management procedures across multiple platforms, including Pershing Advisor Solutions, Pershing LLC, Charles Schwab, and Fidelity Institutional.
Accurately processed asset movement requests, new account openings, and account transfers in compliance with firm standards.
Maintained and documented client interactions using CRM tools to ensure seamless communication and relationship management.
Organized and executed mailings for quarterly performance reports, enhancing client engagement and transparency.
Scheduled meetings, conference calls, and managed travel arrangements to optimize advisor efficiency and client service delivery.
Capital Financial Group/ H. Beck, Inc.
Rockville, MD
Supervisor, Brokerage Operations
2005 – 2013
Organized and delivered quarterly presentations to department heads and firm partners, ensuring clear communication of performance and strategic updates.
Coordinated presentations for the Cashiering Department’s home office orientation and managed logistics for annual conferences.
Oversaw hiring, onboarding, and training of personnel within the Cashiering Department, fostering team development and operational efficiency.
Supervised a team of three staff members, providing leadership and performance oversight.
Trained cashiering personnel for the successful launch of the West Coast office.
Led the reorganization of procedures during the transition from two clearing firms (Bear Stearns and Pershing) to a single clearing firm (Pershing), ensuring compliance and operational continuity.
Implemented new processes to optimize cashiering operations for both home office and West Coast office locations.
Managed all cashiering transactions for fee-based and retail brokerage accounts, ensuring accuracy and timeliness.
Maintained daily communication with Registered Representatives and clearing firms to resolve operational issues promptly.
Processed incoming checks for deposit into various client accounts, including IRA, Trust, and 401(k).
Initiated and processed FED wire transfers, journals, check disbursements, scheduled IRA distributions, and ACH contributions.
Served as backup for New Accounts and Transfer Department, ensuring uninterrupted service.
Tracked and analyzed weekly productivity and performance metrics using MS Excel to support data-driven decision-making.
Capital Financial Group/ H. Beck, Inc.
Rockville, MD
Administrative Assistant/Receptionist
2003 – 2005
Provided a welcoming and professional experience by greeting clients and managing front desk operations.
Operated a multi-line phone system, ensuring efficient call handling and accurate message delivery.
Recorded and distributed incoming mail and prepared outgoing mail for timely dispatch.
Organized and scheduled conference rooms for meetings while maintaining accurate appointment calendars.
Scanned and indexed brokerage account documents to ensure proper recordkeeping and compliance.
Assisted with processing incoming checks and performed daily bank deposits to maintain accurate financial transactions.
Typed memos and completed various clerical tasks to support office operations and team efficiency.
Technical Skills:
Productivity Tools: Microsoft Office Suite (Word, Excel, PowerPoint, Access), MS Office Document Imaging, MS Outlook
Collaboration Platforms: Microsoft Teams, Zoom, Copilot
Operating Systems & Browsers: Windows OS, Internet Explorer
Additional Software: WordPerfect
EDUCATION:
University of Maryland University College
C ollege Park, MD
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