Series 7
Amy M Wallace
Draper,UT
Summary
An established Registered Client Service Associate known for handling responsibilities with exceptional poise in fast-paced office settings. Expert communicator with over 10 years of experience working with or for sales teams In investment, banking and finance. Driven to make a difference and enjoys finding opportunities for improvement. Thrives on managing multiple projects and meeting deadlines. Exceptional talent in building positive rapport, inspiring trust and uniting others. First-class problem solver with a natural ability to turn around challenges related to operational issues, client acquisition and retention. Ability to create cross-departmental agreements and ownership by using consistent communication. Highly dependable, ethical and reliable business partner that packages advanced organizational, technical and business acumen into a big smile, genuine partnership and an eye toward maximum success.
Overview
6
6
6
6
Series 66
9
9
Life & Health Insurance Licensing
Work History
Registered Client Service Associate
Ameriprise Financial
Salt Lake City, Utah
08.2019 - Current
- Supporting business of two tenured financial advisors and one junior Advisor.
- Advisors utilize UITs, Options, Margin, Equities, Insurance and Annuities to serve their clients. This led to a great deal of learning detailed implementations and coordination with Home Office partners in multiple areas.
- Salesforce implementation for 3 Advisors holding portfolios of 150-200 clients each. utilized Events, Tasks, Opportunities and calendars - with 4-15 annual tasks per Client. This new business process and increased service levels, referrals and led to $5M+ in asset growth.
- Prepare necessary documentation and set repeatable processes to successfully onboard new business.
- Actively collaborate with operations, trading, compliance & sales support teams to resolve issues to provide high level client support.
- Schedule client meetings for Advisors by managing Salesforce calendars, preparing presentations and tracking results.
- Maintained accurate and current customer account data via processing and Salesforce information updates. Utilized information to provide growth opportunities to sales team.
- Former S24 which guides keen focus on compliance and protecting the client, the Advisor and the firm.
Financial Representative
AXA Retirement Benefits Group
Salt Lake City, Utah
05.2019 - 08.2019
- Educated school district employees across 37 schools and 8 support units regarding supplemental retirement strategies and products.
Financial Advisor
Merrill Lynch Pierce Fenner & Smith Incorporated
Walnut Creek, CA
08.2015 - 03.2017
- Partnered with local female business owners to exchange referrals and provide mutual support. Focused on Women's Non-Profit Groups, Trust Attorneys, Architects, Engineers and Contractors.
- Board Member of Merrill Lynch Women's Exchange responsible for community service.
Branch Manager
Umpqua Bank
San Francisco, CA
06.2013 - 06.2015
- Developed innovative methods for employee management, community interaction, risk analysis and business development.
- Drove company brand in San Francisco market by focusing on Commercial property development industry as target market.
Business Banker
Citibank
Pleasant Hill, California
04.2012 - 03.2013
Branch Manager
US Bank
Alameda, California
02.2011 - 04.2012
Real Estate Industries Division Marketing Officer
Bank Of The West
Walnut Creek, California
04.2006 - 01.2011
- Coordinated cross sell efforts of 15 nationwide commercial real estate lending offices.
- Implemented CRM System across all National Offices via training program design, implementation and tracking usage metrics.
Customer Service Manager
EBenefits.com
San Francisco, California
12.1998 - 12.2003
- Built solid partnerships between four diverse internal teams - Engineering, Customer Service, QA and Project Management.
- Selected and implemented CRM system.
Education
Political Science And Government - No Degree
Weber State University
Ogden, UtahGraduate - High School Diploma
Bear River High School
Garland, UTSkills
- Sales & operations chameleon
- Passionate & willing learner
- Restless desire for continual improvement
- Positive energetic disposition tempered by business acumen
- Engaging verbal and written business communication
- Highly disciplined and self-motivated
- Innovative Solution development champion
- Conflict & Complaint resolution expert
- "What if" creator
- Skilled in Salesforce
- Process enhancements
- Key stakeholder relationship building
- Recordkeeping strengths
Accomplishments
Boys and Girls Club of Oakland, CA - Events Committee
Merrill Lynch Women's Network - Committee Member
Commercial Real Estate Women - Membership Committee
Society for Marketing Professionals - Events Committee
Certification
FINRA Series 7 and 66
Former FINRA Series 24
Utah Life & Health Insurance Producer License
Former California Life & Health Insurance Producer
State of Utah Notary
Work Availability
monday
tuesday
wednesday
thursday
friday
saturday
sunday
morning
afternoon
evening
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Quote
Innovation distinguishes between a leader and a follower.
Steve Jobs
Timeline
Registered Client Service Associate
Ameriprise Financial
08.2019 - Current
Financial Representative
AXA Retirement Benefits Group
05.2019 - 08.2019
Financial Advisor
Merrill Lynch Pierce Fenner & Smith Incorporated
08.2015 - 03.2017
Branch Manager
Umpqua Bank
06.2013 - 06.2015
Business Banker
Citibank
04.2012 - 03.2013
Branch Manager
US Bank
02.2011 - 04.2012
Real Estate Industries Division Marketing Officer
Bank Of The West
04.2006 - 01.2011
Customer Service Manager
EBenefits.com
12.1998 - 12.2003
FINRA Series 7 and 66
Former FINRA Series 24
Utah Life & Health Insurance Producer License
Former California Life & Health Insurance Producer
State of Utah Notary
Political Science And Government - No Degree
Weber State University
Graduate - High School Diploma
Bear River High School
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