Allen Braunbeck
Sun City,AZ
Summary
Dynamic Senior Relationship Manager with E*TRADE from Morgan Stanley, recognized for exceeding asset retention goals and enhancing client relationships. Expertise in regulatory compliance and client management, coupled with a proven ability to mentor teams and deliver consultative solutions using Money Guide Pro. Committed to driving exceptional service and fostering growth.
Overview
12
12
years of professional experience
1
1
Certification
Work History
Senior Relationship Manager
E*TRADE from Morgan Stanley
03.2021 - Current
- Manage a book of ultra high net worth clients of 450 stock plan participant relationships, providing white-glove support and attention relating to product education, trade facilitation, Rule 144 compliance, and Section 16 reporting.
- Achieved and surpassed corporate goals for asset retention and advisor referrals.
- Serve as point of contact between internal support teams and corporate stock plan administrative teams.
- Provide guidance to new hires and team members on optimal approaches.
Branch Manager
TD Ameritrade, Inc.
01.2018 - 01.2021
- Guided Financial Consultants to foster and maintain client relationships.
- Oversaw client relationships with $500MM in managed assets.
- Recruited branch staff and developed a pipeline of future talent by fostering ongoing relationships.
- Trained associates using Money Guide Pro software to deliver a consultative plan to our high-net-worth investors.
- Streamlined record-keeping processes to maintain compliance and oversight for the branch office.
- Facilitated branch office seminars and educational events.
Branch Manager
Scottrade, Inc.
05.2012 - 01.2018
- Managed multiple branch locations in the greater Phoenix Metro market.
- Directed local branches through crucial transitions amid the TD Ameritrade acquisition.
- Managed recruitment for several locations throughout Arizona.
- Managed document organization to ensure compliance and supervision.
Skills
- Manager/Leadership mentoring program
- Sales Key Dialog Model
- Richardson Sales Results
- Professional Selling Skills
- Quality, Service, Selling Skills
- Train the Trainer
- Client management
- Branch leadership
- Customer Relationship Management
- Asset retention
- Results driven
- Regulatory compliance (OSJ)
- Money Guide Pro
- Tableau
Accomplishments
- Manager / Leadership mentoring program.
- Multiple branch and individual quarterly and weekly award recipient for asset gathering, referrals, and guidance.
Certification
- Series 7
- Series 24
- Series 63
- Series 66
- Certified Equity Professional Level 1
Timeline
Senior Relationship Manager
E*TRADE from Morgan Stanley
03.2021 - Current
Branch Manager
TD Ameritrade, Inc.
01.2018 - 01.2021
Branch Manager
Scottrade, Inc.
05.2012 - 01.2018
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