Summary
Overview
Work History
Education
Skills
Certifications Skills
Timeline
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Christopher Castellanos

Darien,CT

Summary

Achieved success in a fast-paced, collaborative environment by enhancing client relationships through effective financial planning strategies. Demonstrated expertise in delivering customized financial advice and solutions, ensuring ongoing client support via multiple communication channels. Streamlined client interactions by efficiently managing time and preparing for calls, addressing requests, and conducting regular service meetings. Expanded client base through networking and referrals by consistently providing exceptional client experiences.

Overview

29
29
years of professional experience

Work History

Director of Investment Operations

Northwestern Mutual
Norwalk, CT
12.2021 - 04.2025
  • Created exceptional client experiences through time-sensitive and high-touch account management.
  • Facilitated money movement via ACH, wire transfers, and loan advancements with TriState Capital Bank.
  • Processed trades for advisory accounts using Netx 360 and Envestnet platforms.
  • Maintained efficient and scalable processes for new and existing accounts leveraging Northwestern Mutual software.

Senior Registered Client Associate

RBC Wealth Management
Stamford, CT
03.1996 - 07.2021
  • Provided administrative and operational support to Financial Advisors and Branch Director.
  • Facilitated effective communication between clients and Financial Advisors, ensuring timely updates on account activities.
  • Researched complex client account issues, identified asset gathering opportunities, and executed direct mail campaigns.
  • Processed documentation, maintained records, facilitated fund transfers, and oversaw issuance of checks and wires.
  • Ensured compliance with policies and procedures while executing trades in Financial Advisors’ absence.
  • Implemented RBC initiatives and programs to enhance operational efficiency.
  • Served as point person for software and hardware roll-outs, training Branch staff as needed.
  • Attended company-wide conferences at home office to stay informed on operational developments.

Education

Undergraduate study - Mathematics

Eastern Connecticut State University
Willimantic, CT

Skills

  • Coachable
  • Collaborative
  • Value-driven
  • Client relationship management
  • Rapport building
  • Trust building
  • Communication skills
  • Leadership abilities
  • Organizational skills
  • Attention to detail
  • Priority management
  • Series 7 license
  • Series 63 license
  • Series 6 license
  • Life and health insurance license
  • Microsoft Office Suite proficiency
  • Bloomberg terminal expertise
  • Thomson ONE experience
  • NetX 360 knowledge
  • Envestnet familiarity
  • FactSet usage
  • Salesforce proficiency

Certifications Skills

  • Series 7
  • Series 63
  • Series 6
  • Insurance License Life & health
  • Microsoft Office Suite
  • Bloomberg
  • Thomson ONE
  • NetX 360
  • Envestnet
  • FactSet
  • Salesforce

Timeline

Director of Investment Operations

Northwestern Mutual
12.2021 - 04.2025

Senior Registered Client Associate

RBC Wealth Management
03.1996 - 07.2021

Undergraduate study - Mathematics

Eastern Connecticut State University

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Christopher Castellanos