Anne Lucas
Salt Lake City,UT
Summary
Detail-oriented professional with expertise in trade execution, risk management, and regulatory compliance. Proven ability to deliver exceptional client support, ensuring prompt issue resolution and adherence to industry standards.
Overview
4
4
years of professional experience
1
1
Certification
Work History
Trading Execution Representative
Fidelity Investments
Salt Lake City, Utah
05.2022 - Current
- Executed trades promptly, contributing to risk management and minimizing potential losses.
- Maintained current knowledge of regulatory requirements for options trading, ensuring adherence to industry standards.
- Assisted clients with margin requirements, account balances, and trading restrictions.
- Ensured compliance with FINRA and SEC regulations for margin trading, safeguarding client interests and firm integrity.
- Demonstrated high attention to detail and accuracy under pressure in fast-paced market conditions.
Trading Specialist I
Fidelity Investments
Salt Lake City , UT
05.2024 - 08.2025
- Delivered exceptional customer support through phone and digital channels, constantly progressing with metrics, call quality, and client satisfaction.
- Demonstrated strong judgment and problem-solving by quickly identifying root causes of trading or account issues and coordinating with partner teams when escalation was required.
- Built trust with clients through clear communication, high-quality service delivery, and strong product knowledge across margin, equities, options (Tier 1), and various account types.
High Net Worth Representative
Fidelity Investments
Salt Lake City, Utah
05.2023 - 05.2024
- Resolved issues promptly, delivering knowledgeable and friendly service to elevate customer satisfaction.
- Prioritized and organized tasks effectively to achieve service objectives.
- Identified products and services that contributed to client success and uncovered growth opportunities.
CRA
Fidelity Investments
Salt Lake City, Utah
05.2022 - 05.2023
- Managed high-volume inbound calls while actively listening to identify needs and provide tailored service solutions.
- Collaborated with trading, brokerage operations, and retirement services to address complex inquiries and improve client experience.
- Enhanced client utilization of Fidelity online resources through targeted education and step-by-step guidance.
Education
High School Diploma -
Taylorsville High School
Taylorsville, UT05-1997
Skills
- Trade execution
- Risk management
- Regulatory compliance
- FBSI, TAS View, Cash, Cash and Margin and Excel
- Problem resolution
- Client support
Certification
- SIE, Series 7 and 63
Timeline
Trading Specialist I
Fidelity Investments
05.2024 - 08.2025
High Net Worth Representative
Fidelity Investments
05.2023 - 05.2024
Trading Execution Representative
Fidelity Investments
05.2022 - Current
CRA
Fidelity Investments
05.2022 - 05.2023
High School Diploma -
Taylorsville High School