Hi, I’m
Audrey Peoples
Katy
Summary
Experienced with managing registration systems and ensuring data accuracy. Utilizes strong organizational skills and attention to detail to maintain efficient workflows. Knowledge of customer service principles and effective communication techniques. Known for reliability, flexibility in adapting to changing needs.
Overview
15
years of professional experience
Work History
Atria Wealth Solutions
Registration Specialist
07.2023 - Current
Job overview
- Maintain internal Registration and Licensing systems
- Onboard registered and non-registered associated persons
- Process terminations and U5 filings
- Process U4 filings
- Manage Agency and DRLP insurance licenses for eight Broker Dealers
- Process Form BD branch filings
- Annual E&O and registration renewals
- Submissions of fingerprints and background checks
- Open securities exam windows
- Monitor internal and external Continuing Eduacation
- Provide customer service to registered reps and branch managers
- Working experience in FinPro, Gateway, BIG, SureLC, BrokerCheck, NIPR, Sircon, RegEd Xchange, and LexisNexis
MassMutual
Contract & Licensing
04.2014 - 02.2023
Job overview
- Manage registration, licensing, and onboarding for all advisors and staff
- Review and process contract applications and background checks
- Conduct New Hire Orientation and Transition meetings
- Process FINRA U4 applications and annual renewals
- Schedule and assign exams, fingerprint appointments and study material
- Maintain licensing and recruiting tracking systems (CE; insurance appointments; renewals; pending new hire requirements)
- Working experience in FinPro; Broker Check; NIPR; Sircon
- Daily office and business operations (Calendars, Phones, E-mail, Fax/Scan, Zoom, Teams; Excel, PowerPoint, Word, Adobe Acrobat)
J.P. Morgan Chase
Licensing Coordinator II
01.2012 - 12.2014
Job overview
- Onboarding for Investment Licensing Training program
- Main point of contact for each licensing session
- Processed and submitted new hire paperwork, insurance applications, and U4 registrations
- Scheduled exams and fingerprint appointments
- Ordered licensing material and created profiles for enrollees
- Sent status updates to District and Regional Managers regarding exams and registration completions
- Managed multiple study and exam calendars, and maintained all licensing files
J.P. Morgan Chase
Quality Control Specialist
01.2010 - 12.2012
Job overview
- Assisted Account Opening Specialists and Imaging Team with new account preparation
- Resolved pending document issues and inquiries
- Prepared confirmation letters and rate sheets to clients
- Processed, reviewed and reconciled account opening and missing document reports
- Reviewed and imaged new account opening documents
- Maintained internal and external new account files
- Pre-filled new account documents in preparation for client
Education
Sinagua High SchoolFlagstaff, AZ
High School from General Studies
Tucson CollegeTucson, AZ
Vocational
Skills
- Regulatory Research
- Confidential Data Handling
- Data Reporting Proficiency
- File Management
- Problem-Solving
- Client Onboarding
- Written and Verbal Communication
- Strong Organization and Time Management
- Microsoft Office Suite: Word, Excel, Access, PowerPoint, Outlook
Timeline
Registration Specialist
Atria Wealth Solutions
07.2023 - Current
Contract & Licensing
MassMutual
04.2014 - 02.2023
Licensing Coordinator II
J.P. Morgan Chase
01.2012 - 12.2014
Quality Control Specialist
J.P. Morgan Chase
01.2010 - 12.2012
Tucson College
Vocational
Sinagua High School
High School from General Studies
Similar Profiles
Jessica McBeeJessica McBee
Compliance Administrative Assistant at Atria Wealth Solutions/NEXT FinancialCompliance Administrative Assistant at Atria Wealth Solutions/NEXT Financial
Gladys AtuelGladys Atuel
Data Analyst at Atria Wealth Solutions, Inc.Data Analyst at Atria Wealth Solutions, Inc.
KIMBERLY ODANIELKIMBERLY ODANIEL
Vice President, Licensing & Registration Manager at Atria Wealth SolutionsVice President, Licensing & Registration Manager at Atria Wealth Solutions
Selena BermudezSelena Bermudez
Home Health LVN at Strive HealthcareHome Health LVN at Strive Healthcare
Sophia CarrionSophia Carrion
Student Intern at Southstone ChurchStudent Intern at Southstone Church