Carolyn A. Finick
Financial Industry Professional
Wilmington,NC
Summary
Personable candidate committed to helping clients meet financial goals. Over 10 years of financial industry experience. Passionate about providing sound financial advice and helping clients individual goals.
Overview
10
10
years of professional experience
5
5
Securities Licenses
Work History
Team Administrator - Authorized Officer
UBS Financial Services Inc.
2021.01 - 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.
2019.09 - 2021.01
- 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.
2016.06 - 2019.09
- 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 2001.05 -
Skills
Strategic financial planning
Certification
CFP® - Certified Financial Planner TM professional, expected
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, expected
2025-03
Life, Accident and Health Insurance Producer
2023-03
Team Administrator - Authorized Officer
UBS Financial Services Inc.
2021.01 - Current
Branch Administrative Manager
UBS Financial Services Inc.
2019.09 - 2021.01
Series 9 & 10 - General Securities Sales Supervisor
2019-01
SIE - Securities Industry Essentials
2018-10
Series 66 - Uniform Combined State Law
2018-09
Series 7 - General Securities Representative
2018-07
Registered Client Service Associate
UBS Financial Services Inc.
2016.06 - 2019.09
Bachelor of Arts - Human Relations
High Point University
2001.05 -
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