JASON SPERRY
Ankeny
Summary
Over 12 years in the financial industry, specializing in portfolio analysis and advisor relationship management. Proven ability to develop personalized investment strategies, retain significant retirement assets, and enhance advisor support through tailored guidance and operational efficiency.
Overview
12
12
years of professional experience
1
1
Certification
Work History
Investment Specialist
Principal Securities
Des Moines
05.2025 - Current
- Analyzed investment portfolios to identify growth opportunities and risks.
- Collaborated with advisors to develop personalized investment strategies and goals.
- Prepared detailed reports on investment performance for client presentations.
- Assisted in developing asset allocation strategies that are tailored to meet clients' needs.
- Coordinated efforts between internal teams and advisors during account opening process.
- Established relationships with third parties such as fund managers and analysts in order to stay abreast of emerging trends in the industry.
- Followed-up with advisors regularly and implemented consultative techniques to help build their fee-based book of business.
Advisory Operations Counselor
Principal Securities
Des Moines
08.2022 - 05.2025
- Supported advisors in managing Advisory book of business, strengthening client relations through effective service.
- Maintained a high level of call quality while taking calls from advisors and their assistants.
- This includes answering telephone calls and emails, researching company and industry market performance, supplying advisors with investment information required to service their clients, and processing securities trades and transactions regarding issues of large profile representatives.
- Maintain knowledge of market conditions and assist the team to set base targets for which assets may be favorable based on current conditions.
- Maintain knowledge of the Investment universe to assist in answering product-specific questions.
- Assist advisors with building portfolios and with accounts out of drift.
- Work with advisors to help with rebalancing and allocation changes.
- Educated and coached advisors and assistants on utilizing technology platforms including Wealthscape, Envestnet, Albridge, and Salesforce for improved operational efficiency.
- Assisted new team members by answering questions and developing best practices on how to be successful in the role.
- Created job aids for complex new account builds, enabling team members to guide advisors and their staff in account creation processes.
- Assisted other teams with processing work items in BPM when they needed additional support.
Financial Counselor 1
Principal Connection
Des Moines
01.2022 - 08.2022
- Identified participants' retirement savings goals to recommend suitable solutions while promoting Principal retirement products to retain retirement assets.
- Successfully retained over $2.7million in retirement assets during my time in this role.
- Monitored market conditions and financial products offered by Principal to provide informed guidance to participants.
- Handled in-bound calls from participants in Principal Employer retirement plans to discuss options following benefit events.
- Take in-bound calls from participants in Principal Employer retirement plans to discuss options after they have experienced a benefit event.
Advisory Operations Counselor
Principal Securities
Des Moines
10.2020 - 01.2022
- Supported advisors in managing advisory books by delivering essential resources and tailored support.
- Assist advisors with building portfolios and with accounts out of drift.
- Work with advisors to help with rebalancing and allocation changes.
- Assist advisors with general education on stocks, bonds, ETFs and general investment questions.
- Maintain knowledge of market conditions and assist the team to set base targets for which assets may be favorable based on current conditions.
- This includes answering telephone calls and emails, researching company and industry market performance, supplying advisors with investment information required to service their clients, and processing securities trades and transactions regarding issues of large profile representatives.
- Maintained high call quality standards while addressing inquiries from advisors and their assistants.
- Educated and coached advisors and assistants on effective use of technology platforms including Wealthscape, Envestnet, Albridge, and Salesforce.
- Maintained an extremely low number of trade errors during my time in this role.
Broker Dealer Counselor I & II
Principal Financial Group
Des Moines
05.2017 - 10.2020
- Assisted affiliated advisors in opening new accounts, completing paperwork, soliciting new business, placing trades, and resolving client issues efficiently.
- Assisted affiliated advisors in opening new accounts, completing paperwork, soliciting new business, placing trades, and resolving client issues.
- Processed account tasks including distributions/withdrawals, cashiering requests, account maintenance, client verification, cost basis updates, and trading.
- Communicate across team lines to expedite account openings, processing of accounts, or to solve any complex issues that required information from multiple teams.
- Supported Broker Dealer during clearing firm conversion from Pershing LLC to NFS LLC, ensuring seamless transition and minimal disruption.
- Acknowledged for exceptional task processing skills, outperforming colleagues.
- Achieved consistently low trade error rates through diligent attention to detail.
Individual Investor Specialist I & II
Principal Financial Group
Des Moines
02.2016 - 05.2017
- Primary responsibilities include taking inbound calls from participants to educate and assist with making changes to their defined contribution, defined benefit, ESOP, and Non-Qualified plans.
- Educated and assisted participants with changes to defined contribution, defined benefit, ESOP, and non-qualified plans through inbound calls.
- Within the first 10 months in this position, I completed training to handle more complex plans to include Institutional defined contribution plans as well as ESOP, defined benefit, and Non-Qualified plans.
- Maintained high call quality and efficiency by answering a high number of calls daily with low average handle time and hold times compared to peers.
- Completed mentor training and successfully guided a new hire representative through onboarding and training process.
- Received promotion to Individual Investor Specialist II on December 24, 2016.
- Traits that have helped me be successful at this position have been active listening, multi-tasking, successfully utilizing resources, and time management.
Client Manager
T. Rowe Price
Colorado Springs
06.2015 - 01.2016
- Enhanced client relationships through consultative service excellence, delivering personalized guidance to high-net-worth clients with assets over $1 million.
- Strengthened client relationships by providing comprehensive, personalized service and guidance to high-net-worth clients with assets exceeding $1 million.
- Proactively offered investment guidance to clients, serving as an investment information resource for products, services, and market issues.
- Identified and implemented creative solutions to improve retention and expansion of shareholder assets.
- Attention to detail, rapport building, time management, and ability to develop creative and personal solutions to client issues allowed me to excel at this position.
- Successfully passed both the Series 7 and Series 66 license exams.
Retail Investment Associate
T. Rowe Price
Colorado Springs
09.2014 - 06.2015
- Utilized a consultative approach to effectively engage with clients on service requests, including mutual fund transactions and product inquiries, enhancing customer satisfaction and supporting asset retention.
- Consistently met and exceeded monthly performance metrics for over six months and was awarded team MVP for two of the six months.
- Addressed client service requests using a consultative approach, ensuring timely and effective resolutions.
- Demonstrated attention to detail and rapport building, effectively managing time and analyzing issues to implement tailored solutions that contributed to success in the role.
Skills
- Series 7
- Series 66
- Series 24
- Series 4
- Investment Trading
- Fee-based Product Knowledge
- Retail Product Knowledge
- Broker Dealer Operations
- Wealthscape
- Envestnet
- Morningstar
- SalesForce
- Skience
- Multitasking Abilities
- Flexible and adaptable
- Customer Service
Certification
- Series 7, FINRA, 2015
- Series 66, FINRA, 2015
- Series 24, FINRA, 2024
- Series 4, FINRA, 2024
Timeline
Investment Specialist
Principal Securities
05.2025 - Current
Advisory Operations Counselor
Principal Securities
08.2022 - 05.2025
Financial Counselor 1
Principal Connection
01.2022 - 08.2022
Advisory Operations Counselor
Principal Securities
10.2020 - 01.2022
Broker Dealer Counselor I & II
Principal Financial Group
05.2017 - 10.2020
Individual Investor Specialist I & II
Principal Financial Group
02.2016 - 05.2017
Client Manager
T. Rowe Price
06.2015 - 01.2016
Retail Investment Associate
T. Rowe Price
09.2014 - 06.2015