Geri Dvorak
Plano,TX
Summary
Experienced registered sales assistant with 15+ years supporting client accounts, trade order processing, and compliance recordkeeping. Known for accurate new account setup, strong client relationships, and responsive financial advisor support.
Overview
1
1
Certification
18
18
years of professional experience
Work History
Registered Sales Assistant
Stifel, Nicolaus & Company
Frisco, Texas
09.2023 - 10.2026
- Collaborated with financial advisors to enhance client communication and optimize service delivery.
- Developed strong client relationships through proactive outreach and consistent follow-up.
- Assisted financial advisors with client account maintenance and streamlined daily administrative tasks.
- Responded promptly to client questions, supporting clear communication and satisfaction.
- Maintained client records carefully to support compliance with regulatory standards.
Registered Sales Assistant
UBS Financial Services INC
Plano, Texas
11.2011 - 09.2023
- Responded to client inquiries, delivering accurate information and tailored solutions to enhance client satisfaction.
- Organized client account files, ensuring compliance with regulatory standards and facilitating efficient access to information.
- Scheduled and coordinated client meetings, optimizing advisor availability and client needs.
- Supported financial advisors with client account maintenance and daily administrative tasks.
- Processed trade orders and verified transaction details for accuracy.
- Prepared client paperwork, account forms, and new account documentation.
- Coordinated meeting schedules and office calendar updates, aligning advisor availability with client needs for improved appointment management.
- Maintained compliance records and organized sensitive client files.
Registered Sales Assistant
Merrill Lynch
Plano, Texas
07.2008 - 12.2011
- Resolved client issues efficiently, fostering strong relationships and trust.
- Maintained accurate client account records, ensuring compliance with regulatory standards.
- Facilitated effective communication among team members, enhancing collaboration and workflow.
- Managed scheduling of client meetings, optimizing team availability and client engagement.
- Processed trade orders and verified transaction details for accuracy.
- Responded to client inquiries with clear service and timely follow-up.
- Prepared client paperwork, account forms, and new account documentation.
- Maintained compliance records and organized sensitive client files.
- Coordinated meeting schedules, calls, and office calendar updates.
Education
High School Diploma -
Delta College
Bay City, MI05-1987
Skills
- Client account management
- Trade order processing
- Trade processing
- New account setup
- Compliance management
- Financial advisor support
- Client relationship management
Certification
- Series 7
- Series 63
- Series 65
Timeline
Registered Sales Assistant
Stifel, Nicolaus & Company
09.2023 - 10.2026
Registered Sales Assistant
UBS Financial Services INC
11.2011 - 09.2023
Registered Sales Assistant
Merrill Lynch
07.2008 - 12.2011
High School Diploma -
Delta College