James Cavanaugh
Rockville Centre,NY
Summary
Dynamic financial professional with a proven track record at JSC403b, LLC, specializing in retirement planning and investment management. Expert in regulatory compliance and relationship building, successfully enhancing client financial literacy and service delivery. Adept at developing sales strategies that drive engagement and foster long-term client relationships.
Overview
8
8
years of professional experience
1
1
Certification
Work History
Managing Member
JSC403b, LLC
Rockville Centre, NY
01.2017 - Current
- Established financial services business focusing on retirement education for public school employees.
- Prospecting and sales for qualified retirement products within 403(b) sector.
- Educate clients about retirement planning options to enhance financial literacy.
- Service clients to ensure compliance with customer service standards.
- Resolve customer issues promptly to maintain high-quality service delivery.
- Coordinate marketing campaigns to boost business engagement and awareness of retirement planning.
Independent Financial Advisor
JSC403b. LLC
Rockville Centre, NY
01.2017 - Current
- Obtained Series 6 and 63 licenses to enhance professional qualifications.
- Monitored investment portfolios, executing timely rebalancing and necessary adjustments.
- Facilitated financial transactions by overseeing processes and ensuring compliance with requirements.
- Clarified financial plans and strategies by answering client inquiries in accessible terms.
Education
Bachelor of Arts - Government And Legal Studies
Bowdoin College
Brunswick, ME05-1998
Skills
- Financial analysis and investment management
- Retirement planning strategies
- Customer service excellence
- Regulatory compliance oversight
- Sales strategy development
- Relationship building
- Problem solving
Accomplishments
- Bowdoin College Varsity Football Captain 1997
- Bowdoin College Varsity Ice Hockey Captain 1997-1998
- The Governor's Academy Athletic Hall of Fame Member
Affiliations
- Youth Football and Ice Hockey Coach
- Avid Runner
- Recreational Sports Enthusiast
Certification
- Series 6 and 63
- New York State Life and Health Insurance License
Timeline
Managing Member
JSC403b, LLC
01.2017 - Current
Independent Financial Advisor
JSC403b. LLC
01.2017 - Current
Bachelor of Arts - Government And Legal Studies
Bowdoin College
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