Summary
Overview
Work History
Education
Skills
Certification
Affiliations
Timeline
BusinessAnalyst
Carolyn A. Finick, CFP®

Carolyn A. Finick, CFP®

Financial Industry Professional
Wilmington,NC

Summary

Personable candidate committed to helping clients meet financial goals. Almost a decade of financial industry experience. Passionate about providing sound financial advice and helping clients individual goals.

Overview

9
9
years of professional experience
7
7
Certificates

Work History

Team Administrator - Authorized Officer

UBS Financial Services Inc.
01.2021 - Current
  • Built strong relationships with clients through consistent communication and proactive portfolio updates.
  • Collaborated with cross-functional teams to develop tailored solutions addressing clients'' unique financial needs and goals.
  • Developed comprehensive financial plans for clients, resulting in improved long-term stability and growth.
  • Assisted clients with budgeting and cash flow management.
  • Developed and maintained strong relationships with clients to maximize satisfaction.

Branch Administrative Manager

UBS Financial Services Inc.
09.2019 - 01.2021
  • Collaborated with upper management to develop branch goals, aligning them with overall company objectives.
  • Acted as liaison between the branch office and corporate headquarters, facilitating clear communication channels regarding policies, procedures, and updates from other departments or divisions within the organization.
  • Interviewed and hired talented individuals with top-level strengths, improving organizational talent, and skill set.
  • Assessed employee performance and developed improvement plans.
  • Enhanced branch production rates by handling staff conflicts, evaluations, hiring, and termination processes and coaching employees on company protocol and payroll operations.

Registered Client Service Associate

UBS Financial Services Inc.
06.2016 - 09.2019
  • Supported financial advisors with preparing documentation, contributing to the successful onboarding of new clients.
  • Enhanced client satisfaction by promptly addressing inquiries and providing accurate account information.
  • Developed detailed reports on current market trends for both internal use and distribution to clients, supporting informed decision-making processes.
  • Ensured compliance with industry regulations, maintaining up-to-date knowledge of rules and guidelines related to client accounts.
  • Provided exceptional customer service through clear communication and active listening, resolving issues quickly and professionally.

Education

Bachelor of Arts - Human Relations

High Point University
High Point, NC
05.2001 -

Skills

Strategic financial planning

Certification

CFP® - Certified Financial Planner TM professional

Affiliations

Pebble Cove Home Owners Association Board Member - Treasurer
• Analyze and recommended investment opportunities
• Regularly provide financial reports
• Ensure proper fund usage
• Review service level agreements with existing vendors

• Evaluate opportunities to reduce financial risk and recommend financial strategies to clear debt

Timeline

CFP® - Certified Financial Planner TM professional

04-2025

Life, Accident and Health Insurance Producer

03-2023

Team Administrator - Authorized Officer

UBS Financial Services Inc.
01.2021 - Current

Branch Administrative Manager

UBS Financial Services Inc.
09.2019 - 01.2021

Series 9 & 10 - General Securities Sales Supervisor

01-2019

SIE - Securities Industry Essentials

10-2018

Series 66 - Uniform Combined State Law

09-2018

Series 7 - General Securities Representative

07-2018

Registered Client Service Associate

UBS Financial Services Inc.
06.2016 - 09.2019

Bachelor of Arts - Human Relations

High Point University
05.2001 -

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Carolyn A. Finick, CFP®Financial Industry Professional