Senior Registered Client Associate - Wealth Management Expert

Professional Summary:

Seasoned Senior Registered Client Associate with over 18 years of experience in Wealth Management, providing high-level administrative and operational support to multiple Financial Advisors and a Managing Director. Proven track record of managing and nurturing High Net Worth client relationships in dynamic, time-sensitive environments. Adept at serving both U.S. and international clients with discretion, precision, and a commitment to excellence. Recognized for organizational efficiency, attention to detail, and the ability to uphold confidentiality and compliance standards across all client interactions.

Work Experience:

September 30, 2013 – April 09, 2024:

Senior Registered Client Associate – Wells Fargo Clearing Services, LLC., Palm Beach Gardens FL.

Responsibilities:

Provided high-level administrative and operational support to Managing Directors and Financial Advisors, ensuring smooth day-to-day functions.

Assisted clients by addressing inquiries, researching and resolving issues, processing account documentation, and maintaining accurate account records.

Supported Financial Advisors in managing and cultivating client relationships, contributing to business growth and client retention.

Built and sustained strong, professional rapport with clients, delivering prompt and attentive service.

Communicated vital account updates and escalated client concerns to Financial Advisors as necessary.

Ensuring all client documentation was complete, up to date, and in compliance with internal and regulatory requirements.

Proactively followed up with clients regarding missing documents, securities, or funds, adhering to firm, branch, and compliance policies.

Maintained strict confidentiality and complied with all regulatory guidelines, including the Morgan Stanley Code of Conduct.

October 22, 1981 – August 19, 2013:

Senior Registered Client Associate – Merrill Lynch, Pierce, Fenner & Smith Incorporated, Boca Raton, FL.

Responsibilities:

Provided administrative and operational support to one or more Financial Advisors, serving as a key point of contact for clients.

Maintained client accounts, processed paperwork, researched inquiries, and prepared correspondence with accuracy and confidentiality.

Partnered with advisors to strengthen client relationships and support business development initiatives.

Ensured all documentation was complete and compliant with firm and regulatory standards.

Communicated critical account updates and escalations to Financial Advisors on behalf of clients.

Upheld all compliance procedures in line with firm policies and the Merrill Lynch Code of Conduct.

Special Skills:

Excellent customer service and problem-solving abilities

Effective communicator across all organizational levels

Strong multitasking and time management skills

Detail-oriented with strong adherence to instructions

Proficient in Microsoft Office Suite (Word, Excel, Access, PowerPoint)

Quick to adapt to new systems and software tools

Education:

Stony Brook University

1979 – Social Science Graduate (4 years)

Certifications/Licenses:

Series 7

Series 66

Life, Health and Variable annuities

References:

Available upon request

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