Dawn Stebelton
Sylvania,OH
Summary
Experienced Senior Client Associate with proven ability to think outside the box to help deliver consistent “First-Class Service” to both prospective & current clients within assigned books of business.
Overview
31
31
years of professional experience
2
2
Certification
Work History
Senior Client Associate
UBS Financial Services Inc
02.2023 - Current
- Primary point of contact to clients regarding their accounts, current promotions, current market conditions, and problem resolution
- Ensuring all client activities comply with regulatory requirements and company policies to help mitigate risk
- Assisting in the preparation and distribution of investment reports, research & market information
- Schedule and coordinate client meetings, including preparing agendas and follow-up material
- Supporting the financial planning process by gathering necessary information from clients, preparing financial documents, and assisting in the development of financial plans
- Primary contact for all trade executions on team
- Point person for marketing and business development activities such as events, sponsorships, & community outreach
- Preparing and distributing client correspondence, including statements and performance reports
- Utilizing firm platforms and systems for account information and data analysis offering further support to team
- Provide additional support during peak periods or when other staff members are not available
Senior Client Associate
Morgan Stanley
12.2007 - 02.2023
- Liaison between financial advisors, clients and Branch Administration
- Assist the Branch Manager with all branch initiatives
- Assist the organization with all new teams that were transitioning to Morgan Stanley
- Determining which issues require immediate elevation to the Financial Advisor or a member of the branch management team
- Onboard and maintain client accounts, including collection of current client information and required documentation, capturing and assessing risk, processing money movement transactions and handling estates
- Identify and assist with firm services and solutions that support client needs, including banking products/services and secure, digital offerings, such as online and mobile applications
Executive Assistant/Event Coordinator
Sun Federal Credit Union
06.2001 - 07.2007
- Spear-headed key organizational initiatives for projects and distributed results to senior management for future decision-making
- Planned and hosted Sun Federal Credit Union’s Annual Meeting, Grand Openings, Retiree’s Celebrations, and Strategic Planning Conferences
- Oversaw and coordinated credit union internal events for both employees and volunteers
- In a team-building effort, administered Sun Federal Credit Union’s internal leadership development program
- Assisted the President/CEO in special research projects and surveys regarding operational and business development services to members and employees
- Influential in creating a positive and welcoming environment for current and prospective new members and employees
- Negotiated contracts with the various strategic business partners of Sun Federal Credit Union
Operations Training Coordinator
Tri-State Expedited Services, Inc.
01.1994 - 06.2001
- Developed comprehensive system for the onboarding training and evaluation of all new Operations employees
- Created standardized procedures, materials, and testing batteries for monitoring employee proficiency and progress
- Responsible for the creation and maintenance of employee records as pertaining to their growth and development
Education
BA - Psychology
University of Toledo
Skills
- Training and mentoring
- Policy compliance
- Mutual funds
- Investment advice
- Wealth management
- Client onboarding
- Teamwork and collaboration
- Problem-solving
- Multitasking
- Active listening
- Organizational skills
- Team collaboration
- Time management
- Attention to detail
- Relationship building
- Professional ethics
- Professionalism
- Account maintenance
- Interpersonal communication
- Written communication
- Professional demeanor
- Documentation management
- CRM software
Certification
- Series 63 License - Financial Industry Regulatory Authority.
- Series 7 License - Financial Industry Regulatory Authority.
Timeline
Senior Client Associate
UBS Financial Services Inc
02.2023 - Current
Senior Client Associate
Morgan Stanley
12.2007 - 02.2023
Executive Assistant/Event Coordinator
Sun Federal Credit Union
06.2001 - 07.2007
Operations Training Coordinator
Tri-State Expedited Services, Inc.
01.1994 - 06.2001
BA - Psychology
University of Toledo
FINRA Series 7
FINRA Series 63
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