Ana Paulino

In 2022, TD Ameritrade was acquired by Charles Schwab. During this period, I held two distinct roles: Transition Specialist and New Client Services Representative.

Transition Specialist: Between 2023 and 2024, over 18 million TDA accounts underwent a gradual and organized transition to Schwab. In this role, my primary responsibilities included:

• Providing an elevated service experience and high-level support to clients moving from TDA to Schwab.
• Ensuring a seamless transition through enhanced training and system access to address client concerns and resolve potential issues.
• Handling client calls via a direct phone number, offering transition-related support, and resolving complications requiring access to both TDA and Schwab systems.
• Assisting clients and other departments with issues such as missing account information and dual relationships during the transition.
• Managing all transition-related marketing and communications.

New Client Services (NCS) Representative: In this role, I supported new retail clients who had opened accounts with Schwab. My responsibilities included:

• Providing a positive introduction to Schwab, helping new clients navigate the platform, grow their business, and receive appropriate referrals.
• Offering enhanced services such as trading solutions referrals and business lead referrals.
• Assisting clients with onboarding, education, and navigating Schwab.com.
• Handling service needs through warm transfers from other teams.
• Addressing any service needs by being knowledgeable about Schwab’s products and services.

In my tenure at TD Ameritrade, my responsibilities varied as I progressed through different tiers within the company.

Tier One (2020-2021):

• Provided a superior client experience to new investors.
• Assisted with all account applications, including 401k, profit-sharing plans, individual/joint, Coverdell, UGMA/UTMA, business, non-profit, Roth IRA, traditional IRA, SEP IRA, and SIMPLE IRA.
• Submitted referrals to the company's financial consultants for clients with specialized financial needs.
• Employed effective questioning techniques to identify clients' unexpressed needs and offered complementary services to fulfill them.
• Educated new traders on company products, requiring thorough knowledge of these products.
• Gained experience in various account types, including taxable accounts, retirement accounts, and business accounts.

Tier Two (2021-2022):

• Proactively reached out to clients with assets exceeding $25K via outbound calls to consolidate at TD Ameritrade.
• Engaged in conversations and follow-ups to facilitate the consolidation process, requiring constant communication.
• Submitted referrals to financial consultants for comprehensive financial planning and management based on clients' needs.
• Submitted leads to thinkorswim specialists for more in-depth tutorials.

I began my career in the financial industry in 2018 as a temporary worker, assisting with the merger of Scottrade into TD Ameritrade. Due to my performance and work ethic, I was offered a full-time position, enabling me to obtain my Series 7 and 63 licenses.

During the merger, my primary responsibilities included password resets, website navigation, email communications, first-time logins, and addressing client concerns about their account transitions. After becoming licensed, I continued these responsibilities and took on the additional role of placing trades accurately and efficiently. I also provided educational introductions to the thinkorswim platform and engaged in more detailed discussions about self-directed trading. During this period, I was honored as a TD Ameritrade Presidents Club recipient.

In a call center environment, I was responsible for handling both outbound and inbound calls to customers to collect incurred debt purchased by the company. My duties included reviewing all financial information, processing payments, and scheduling payment plans.

My responsibilities included professionally attending to bank clients and efficiently managing their calls. This involved answering account-related questions, resolving issues, verifying customer identity, and providing information according to protocol. I also handled tasks such as closing debit cards, opening and closing accounts, mailing information and replacement debit cards, and filing claims related to fraud and complaints.