Jeremy A. Bates
Peoria,USA
Summary
Dynamic financial professional with strong acumen and exceptional communication skills, currently at Morgan Stanley. Proven track record in client onboarding and regulatory compliance, enhancing customer satisfaction and exceeding performance metrics. Adept at financial analysis and relationship management, driving tailored investment solutions for high-net-worth clients. My goal with this program is to expand my capabilities in financial analysis and attain my Chartered Financial Analyst distinction.
Overview
7
7
years of professional experience
1
1
Certification
Work History
Registered Client Service Associate
Morgan Stanley
Gilbert, AZ
11.2024 - Current
- Matching clients with suitable portfolios based on risk tolerance, time horizon, and goals.
- Adhering to performance-based, client-centric metrics that maximize the customer service experience.
- Working to ensure clients meet regulatory obligations with their accounts, and that their information is correctly on file.
- Referring clients to financial advisors for managed portfolios.
Investment Professional
JPMorgan Chase
Tempe, AZ
03.2024 - 11.2024
- Collaborated with financial advisors to enhance client service and satisfaction levels.
- Educated clients on investment products, risks, and market conditions effectively.
- Managed compliance with regulatory requirements in all investment activities.
- Identified customer needs and helped with individualized financial planning.
Financial Analyst
Boeing
Mesa, AZ
06.2023 - 02.2024
- Analyzed financial data to support decision-making processes.
- Developed forecasts to guide budget planning and resource allocation.
- Collaborated with cross-functional teams to evaluate project costs and benefits.
- Prepared detailed reports on financial performance and trends.
- Utilized advanced Excel functions for complex data analysis and modeling.
High Net Worth Client Representative-Previously Retirement Services Representative (Series 6 and 63 Licensed)
Vanguard Group
Scottsdale, Arizona
08.2018 - 06.2023
- Communicating with employees of many organizations about their options within their 401k’s, 403b’s, and non-qualified plans and explaining what is offered to meet their needs
- Explaining advice options to participants within their employer plans and what services are offered to them within Vanguard personal accounts (asset retention) for separating employees
- Teaching Series 6 and Series 63 curricula to incoming testing candidates and coached them within their role
- Teaching classes on the various segments within participant services for incoming employees to those segments
- Maintained all expected metrics and exceeded expectations-received “distinguished” in most recent yearly review
Education
Master of Business Administration -
Grand Canyon University
Phoenix, Arizona08.2020
Bachelor of Science - Finance
Northern Arizona University
Flagstaff, Arizona08.2018
Skills
- Strong financial acumen
- Strong written and verbal communication skills
- Strong relationship management skills
- Conflict resolution skills
- Strong presentation skills
- Proficient with the Microsoft Office Suite of products
- Investment education
- Client onboarding
- Regulatory compliance
- Financial analysis
- Customer service
- Cross-functional collaboration
- Risk assessment
- Performance metrics
- Financial planning
Certification
Series 7, Series 66, SIE, and Series 63 Licenses
Fellowships And Awards
- National Defense Service Medal, United States Army, 10/2013
- Global War on Terrorism Service Medal, United States Army, 10/2013
Timeline
Registered Client Service Associate
Morgan Stanley
11.2024 - Current
Investment Professional
JPMorgan Chase
03.2024 - 11.2024
Financial Analyst
Boeing
06.2023 - 02.2024
High Net Worth Client Representative-Previously Retirement Services Representative (Series 6 and 63 Licensed)
Vanguard Group
08.2018 - 06.2023
Master of Business Administration -
Grand Canyon University
Bachelor of Science - Finance
Northern Arizona University
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