JENNIFER L. COOK
Deland,FL
Summary
Dynamic Registered Investment Associate with twenty years' experience in working with clients of all levels and backgrounds. Expert in increasing productivity and customer satisfaction while driving revenue and sales. Proven track record in building and retaining long-term relationships by establishing positive, productive and routine communications. Exceptional knowledge in wealth management, estate planning and investments.
Overview
20
20
years of professional experience
2
2
Licenses
Work History
Senior Registered Investment Associate
JMC Wealth Management / LPL Financial
Orlando, FL
03.2019 - 05.2023
- Managed team of investment advisors and successfully supported their business objectives, resulting in $100M portfolio growth.
- Served as first point of contact to service high volume of daily interactions with clients by educating on account services and capabilities and proactively addressed inquiries regarding account balances, statements, tax inquiries and product/service information.
- Maintained and updated CRM with accurate client information and leveraged various communication channels to successfully keep clients engaged and informed.
- On-boarded new clients by opening new client accounts, processing, and monitoring transfer of assets to ensure all assets and cost basis were successfully received.
- Effectively handled day-to-day operations by reviewing all incoming/outgoing paperwork and tracking assets under management in search of buying opportunities.
- Expertly prepared appointments and followed up with clients post-meeting to ensure their satisfaction and continued engagement.
- Maintained state and FINRA securities and insurance licenses and tracked continuing education for four advisors annually.
- Built financial plans using Financial Profiles according to clients' values and goals, including but not limited to, retirement, college, estate planning, tax planning etc.
- Allocated work assignments and tasks to comprehensively manage administrative projects.
Senior Registered Investment Associate
Professional Wealth Advisors / LPL Financial
Plainfield, IL
10.2015 - 01.2019
- Provided administrative and sales support to multiple Financial Advisors by handling complex situations, setting client expectations, and conducting investment and product research.
- Solely streamlined trading process and efficiencies, while reducing costs by 20%.
- Managed daily reports for account activities – cash management, RMDs, periodic distributions, debits, pending settlements, etc.
- Prepared documentation for client review meetings and assisted with planning strategies.
- Solely transitioned another advisor's book in a timely manner in late 2018.
- Proactively shared knowledge and experiences with colleagues through mentorship.
Compliance, Trading & Operations Associate
Vestor Capital
Chicago, IL
09.2014 - 10.2015
- Researched regulatory laws and updated internal training materials to reflect changes.
- Maintained and updated the compliance manuals for both the broker-dealer & the RIA.
- Oversaw preparation of client reporting, marketing and financial materials.
- Independently executed all asset allocation modeled account maintenance requests from portfolio managers and financial advisors across institutional and retail accounts.
- Revised company policies and procedures, initiated new processes to improve objectives, and distributed updated documentation to personnel.
- Assisted with internal and external audits to confirm compliance with applicable laws and regulations
Vice President / Registered Associate
Householder Group Financial Advisors / LPL Financial
Edmond, OK
07.2004 - 09.2014
- Coordinated activities to help clients meet financial objectives to build, preserve, or transition resources by developing individualized plans
- Performed portfolio trading, rebalancing and model management.
- Prepared portfolio review materials for client meetings.
- Organized and implemented seminars and client educational events.
- Hired and managed employees to maximize productivity while training staff on best practices and protocols.
- Created and orchestrated marketing campaigns which includes designing email and direct marketing materials for new business and client appreciation events
- Managed registration process as well as ensure that advisors have appropriate securities registrations and insurance company appointments
- Responsible for compliance adherence and had outstanding compliance track record of clean audits with no violations
Education
Bachelor of Business Administration - Finance
University of Central Oklahoma
Edmond, OKSkills
- Customer Relationship Management
- Report Preparation and Presentation
- Regulatory Requirements Adherence
- Analyze Financial Records
- Team Training and Mentoring
- Business Operations
- Trade Allocations
- Customer Expectations Management
- Client Retention
- Operational Efficiency
Certification
- Series 7
- Series 66
- Florida Insurance License for Life, Health, and Variable Annuity
Timeline
Senior Registered Investment Associate
JMC Wealth Management / LPL Financial
03.2019 - 05.2023
Senior Registered Investment Associate
Professional Wealth Advisors / LPL Financial
10.2015 - 01.2019
Compliance, Trading & Operations Associate
Vestor Capital
09.2014 - 10.2015
Vice President / Registered Associate
Householder Group Financial Advisors / LPL Financial
07.2004 - 09.2014
Bachelor of Business Administration - Finance
University of Central Oklahoma
- Series 7
- Series 66
- Florida Insurance License for Life, Health, and Variable Annuity
Volunteer Experience
Member of the Board of Directors
Boston Terrier Club of America
- Served as Treasurer from 2016 to 2022.
- Director of the Futurity Stakes event from 2011 to present.
- Director of the Boston Terrier of the Year event from 2014 to present.
- Urge fellow members and breeders to accept the Standard of the Breed as approved by The American Kennel Club as the only Standard of excellence by which Boston Terriers shall be judged.
- Promote quality in the breeding of pure-bred Boston Terriers.
- Encourage sportsman-like competition at dog shows and obedience trials.
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