Internal Financial Consultant
NBT Investments
01.2021 - Current
Hi, I’m
Alexis White
Registered Client Service Associate
Queensbury,NY
Summary
- 24 Years of experience in the Financial Industry providing superior customer service while assisting Financial Advisors grow and maintain their business.
- FINRA Series 7 - General Securities Representative (GSRE) - 1999
- FINRA Series 63 - Uniform Securities Agent State Law Exam - 1999
Work History
NBT InvestmentsGlens Falls, NY
Internal Financial Consultant
01.2021 - Current
Job overview
- Provide support and customer service for 18 Financial Consultants and their clients throughout the Northeast.
- Implemented Client Relationship Management software that addressed long-standing problems. Trained employees on software.
- Furnished weekly reports to Management and assist with Compliance.
- Perform trade executions, distributions, account transfers, new accounts, death claims, account inquiries, and general account maintenance.
- Actively listened to customers, handled concerns quickly and escalated major issues to supervisor
Minich MacGregor Wealth ManagementSaratoga Springs, NY
Director of Client Services
09.2009 - 05.2020
Job overview
- Sole employee chosen to assist with startup and implementation of Minich MacGregor Wealth Management.
- Leader in conversion process of transferring accounts from former Broker Dealer to newly created RIA Wealth Management firm. Created new accounts, processed all account transfers, reestablished all monthly distributions and investments, and all facets of office management.
- Established and maintained trusting client relationships with 630 households with $287 million of assets under management.
- Executed portfolio changes and rebalancing for all clients, including block trading.
- Provided superior customer service with quick results and knowledgeable answers to all inquiries.
- Responsible for scheduling client appointments and maintaining calendars of four Financial Advisors.
- Prepare and process all paperwork needed for new and existing clients.
Morgan Stanley/Smith BarneyGlens Falls, NY
Registered Client Service Associate
09.1998 - 09.2009
Job overview
- Assisted three Financial Advisors in building their business and maintaining their client base. 982 households with $272 million in assets.
- Perform all trade requests, money withdrawals, and transfer of assets.
- Provided each client with exceptional level of service by responding quickly to issues and answering questions
- Resolved concerns with products or services to help with retention and drive sales
- Monitor and update team website and conceptualize monthly emails for new marketing campaigns.
- Coordinate and arrange customer appreciation events.
Education
Adirondack Community CollegeQueensbury, NY
Associate of Applied Science from Marketing
2000
Skills
FINRA Series 7 - General Securities Representative Exam (GSRE) - 1999
FINRA Series 63 - Uniform Securities Agent State Law Exam - 1999
Timeline
Director of Client Services
Minich MacGregor Wealth Management
09.2009 - 05.2020
Registered Client Service Associate
Morgan Stanley/Smith Barney
09.1998 - 09.2009
Adirondack Community College
Associate of Applied Science from Marketing
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