Charlie Ponce, CFP®, CIPM®
Denver,CO
Summary
Senior strategist with extensive analytical skills seeking an advisory position to provide tailored solutions to achieve clients' goals and objectives
Overview
11
11
years of professional experience
1
1
Certification
Work History
Senior Wealth Strategy Associate
UBS - Private Wealth (Vanden Heuvel Team)
02.2016 - Current
- Proactively originating investment solutions for client portfolios to optimize for market trends and economic conditions
- Assisting clients in making beneficial and strategic decisions to leverage assets to achieve goals and objectives
- Cultivating and strengthening relationships with new clients and educating clients on account services and firm capabilities.
- Designing customized reporting solutions for multi-generational families and performing annual reviews
- Integrating estate planning strategies to maximize wealth transfer of assets to mitigate tax liabilities
- Performing due diligence on Hedge Funds, Private Equity and Direct Investment offerings
- Analyzing and monitoring SMAs, ETFs, and Mutual Fund Performance (Contribution and Attribution Analysis)
- Quarterly valuations summaries for hedge fund, private equity and option overlay strategies
Business Analyst
Credit Suisse - Private Bank (Vanden Heuvel Team)
07.2015 - 02.2016
- Managing bond ladder and structured investment portfolios
- Executing 10b5-1 plans and covered call writing strategies for concentrated stock positions
- Constructing and updating financial plans and completing needs analysis
- Daily client servicing (Wires, Trade Execution, Document Requests, ACATS, Tax Summaries)
Associate Wealth Management Advisor
Northwestern Mutual
11.2012 - 07.2015
- Team Director and manager of executing team goals and initiatives
- Directing workflow and managing case deadlines
- Leading client meetings to review portfolios and updating financial plans
- Selecting securities for the advisory platform portfolios
- Driving business development and prospecting initiatives
Education
B.B.A - Finance & International Business, Spanish
University of Iowa
Iowa City, IA2002
Skills
- Vestmark, Alladin, CRM, Bloomberg
Certification
- CFP® Board ID #521156
- Certified Public Accountant (CPA) by examination #101105
- Certificate in Investment Performance Measurement (CIPM®)
- FINRA Series 7 CRD#: 5866451
- FINRA Series 66 and 63
- Colorado Life and Health Insurance
Timeline
Senior Wealth Strategy Associate
UBS - Private Wealth (Vanden Heuvel Team)
02.2016 - Current
Business Analyst
Credit Suisse - Private Bank (Vanden Heuvel Team)
07.2015 - 02.2016
Associate Wealth Management Advisor
Northwestern Mutual
11.2012 - 07.2015
B.B.A - Finance & International Business, Spanish
University of Iowa
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