Chris Charles
Summary
Results-oriented and client-focused Financial Professional with 12 years of experience in providing comprehensive financial planning and investment guidance. Proven expertise in developing and implementing tailored financial strategies to help clients achieve their financial goals. Skilled in building and nurturing long-term client relationships through clear communication and trusted guidance. Seeking to leverage knowledge and unique experience to drive clients financial success.
Overview
16
16
years of professional experience
1
1
Certification
Work History
Account Executive
AssuredPartners
12.2023 - Current
- Served as a point of contact between 401(k) plans and plan sponsors
- Dealt with the administration and management of 401(k) plans for advisor's book of business
- Ensured compliance with regulations and assisted with day-to-day operations
- Stayed informed about changes in retirement plan laws and industry trends to provide up-to-date advice and support to clients
Deli Team Member
Bayview Thriftway / Town & Country
05.2022 - Current
- Effective communicator with customers, ensured orders were accurate and processes ran smoothly.
- Managed and prioritized multiple tasks efficiently, especially during busy periods.
Financial Services Roles
Principal / Northwestern Mutual
- My experience in previous financial roles progressively paved the way for my most recent position in Financial Services as Retirement Education Specialist, where I was able to leverage my diverse expertise to the fullest.
Retirement Education Specialist
Principal Financial Group Inc
11.2017 - 01.2022
- Developed appropriate needs assessments to help retirement plan participants make informed decisions about their retirement savings and payout strategies.
- Drove participant retirement outcomes through presenting and facilitating enrollment and educational meetings for retirement plan participants.
- Collaborated with Plan Sponsors, Advisors and internal teams to provide appropriate education solutions.
- Responsible for following quality and risk management process and procedures and providing accurate tracking and reporting of participant meeting data to support education product offering.
Associate Wealth Management Advisor
Northwestern Mutual
08.2016 - 10.2017
- Assisted senior financial advisor by helping to build, maintain, and continuously grow portfolio of clients.
- Developed customized financial plans to achieve clients goals, including retirement, investment, and estate planning.
- Regularly met with clients to review financial plans, assess progress, and adjust strategies as needed.
- Collaborated with team members to optimize investment portfolios and asset allocations.
Business Development / Customer Service
Tech Industry Experience
05.2015 - 08.2016
- Generated qualified leads each month through targeted outbound prospecting efforts, including cold calls, emails, and social media outreach.
- Collaborated closely with sales team to qualify leads and develop strategies for lead nurturing.
- Maintained accurate and up-to-date records of all prospect interactions and progress in the company's CRM system.
Financial Representative
Northwestern Mutual
05.2008 - 02.2015
- Built client base by cold calling and referrals relying on strong interpersonal skills, good communication, and honest and ethical moral standards.
- Helped individuals and families build and execute wealth management strategies based on unique goals and objectives.
- Educated clients on various financial matters and provided professional recommendations on investment opportunities, products and services based on each clients' individual needs.
- Achieved Bronze, Silver, Gold, and Platinum awards based on production requirements set forth by organization.
Education
Bachelor of Science - Finance
Sonoma State University
Rohnert Park, CA05.2008
Skills
- Microsoft Office
- Proficient in CRM software
- Strong compliance expertise
- Team player
- Clear communicator
- Friendly and positive
- Service minded
- Problem-solver
- Critical thinker
- Honest and Ethical
- Detail-Oriented
Certification
- Series 7
- Series 65
- Series 6
- Series 63
Timeline
Account Executive
AssuredPartners
12.2023 - Current
Deli Team Member
Bayview Thriftway / Town & Country
05.2022 - Current
Retirement Education Specialist
Principal Financial Group Inc
11.2017 - 01.2022
Associate Wealth Management Advisor
Northwestern Mutual
08.2016 - 10.2017
Business Development / Customer Service
Tech Industry Experience
05.2015 - 08.2016
Financial Representative
Northwestern Mutual
05.2008 - 02.2015
Financial Services Roles
Principal / Northwestern Mutual
Bachelor of Science - Finance
Sonoma State University
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