Duong Thai Ho
Naples,FL
Summary
Results-driven financial advisor and business owner with 3+ years of experience in wealth management and client relationships emphasizing fiduciary responsibility to meet client’s goals. I operate with the premise of leveraging collective expertise, cross-functional collaboration, and data-driven insights to deliver optimal outcomes and sustainable growth to business. 1. Advise clients on retirement planning, investment allocation, insurance and risk management 2. Build and maintain long-term client relationships through consistent communication and service 3. Analyze market trends and adjust strategies to meet client goals 4. Ensure compliance with regulatory standards and firm policies 5. Series 7, 63,65 and 215 license 6. Speak adequately in Vietnamese and French
Overview
19
19
years of professional experience
1
1
Certification
Work History
Registered Financial Representative
Alliance Financial Group
Fort Myers, FL
02.2022 - Current
- Analyzed client financial needs to develop tailored investment strategies
- Educated clients on financial products, enhancing overall customer engagement
- Collaborated with cross-functional teams to streamline client onboarding processes
- Reviewed and ensured compliance with industry regulations and standards
- Provided ongoing support to clients, addressing inquiries and resolving issues promptly
- Attended industry conferences and workshops to stay current on market trends, enhancing expertise in serving clients'' needs effectively.
- Provided exceptional customer service, addressing client concerns promptly and effectively resolving issues.
Owner/Operator
Tropical Smoothie Cafe
Ave Maria, FL
04.2008 - Current
- Developed operational strategies to enhance customer service and satisfaction.
- Streamlined inventory management processes to reduce waste and optimize supply chain efficiency.
- Trained and mentored staff on food safety protocols and customer engagement techniques.
- Implemented marketing initiatives to increase brand awareness and drive foot traffic.
Bartender
Campielo
Naples, FL
10.2007 - 11.2019
- Crafted and served diverse cocktails, enhancing guest experiences through creativity and precision.
- Maintained cleanliness and organization of bar area, ensuring compliance with health and safety standards.
- Managed inventory levels, tracking supplies to minimize waste and optimize ordering processes.
- Developed seasonal drink menus based on customer preferences and current trends in mixology.
- Contributed to event success, planning beverage menus and efficiently serving large groups.
- Built relationships with vendors to manage orders and negotiate costs.
Education
Bachelor of Science - International Business
Rollins College
Winter Park, FL05-2001
Skills
- Cash flow management for each dollar has it's purpose
- Retirement planning on how money is going to be spent
- Active listening to discover nuances
- Critical thinking to be sure client is acting in line with objective
- Generational wealth management
- Relationship building with continuous conversation around client's goals and needs
- Behavioral analysis by understanding reason for each action
Certification
Life and Disability 215
Series 7, 63, 65
Languages
French
Limited Working
Vietnamese
Limited Working
Section name
I have also been operating as a co-owner operator of a QRS (Tropical Smoothies Café) for 17 years. Some of the task involve
1. Daily operations
2. Manage staff hiring, training, scheduling and performance
3. Ensure compliance with health, safety and franchise standard
4. Monitor financial performance, cost control and revenue growth
5. Customer satisfaction and growth strategy
For the first 6 years of operation, these task were performed with rigor.
Timeline
Registered Financial Representative
Alliance Financial Group
02.2022 - Current
Owner/Operator
Tropical Smoothie Cafe
04.2008 - Current
Bartender
Campielo
10.2007 - 11.2019
Bachelor of Science - International Business
Rollins College