John Clarke
Tampa,FL
Summary
Licensed Financial Representative with SIE, Series 7, Series 63 and Series 65 registrations and experience delivering personalized investment guidance, retirement planning, brokerage solutions, and banking recommendations. Proven ability to build trusted client relationships, identify financial needs, manage regulatory requirements, and exceed service expectations in fast-paced wealth management environments.
Overview
4
4
years of professional experience
1
1
Certification
Work History
RBCC Equity Specialist
Merrill Lynch
Tampa, FL
01.2024 - Current
- Guided clients in navigating equity plans and understanding regulations and policies, ensuring compliance and informed decision-making.
- Executed all transfers and transactions for client accounts, including stock sales and wire transfers.
- Built trusted relationships by providing exceptional service and educating clients on available financial solutions.
- Manage over 60 calls per day on average and conduct analysis of client portfolios to support informed decision-making regarding account options.
- Collaborated with licensed financial professionals to transition qualified clients for investment and retirement planning opportunities.
- Managed a high-volume pipeline of inbound client requests while delivering personalized financial guidance.
- Consistently met productivity, quality, and customer experience expectations while maintaining strict regulatory compliance
- Educated clients on investment products, market conditions, retirement planning, and wealth accumulation strategies.
- Maintained compliance with FINRA regulations, firm policies, and suitability standards while documenting and assisting client needs.
- Have been top 1% of availability, average handle time on calls, and met 90% client satisfaction that has led to multiple crown awards for top performers of the month
Bank Specialist
USAA Bank
Tampa, FL
03.2023 - 01.2024
- Educated customers on banking products and services to enhance their financial decision-making.
- Educated customers on features and benefits of banking products and services.
- Opened, closed, and updated customer accounts to ensure accurate handling of deposits and acquisitions.
- Assisted customers with setting up or closing accounts, completing loan applications, and signing up for new services.
- Investigated customer inquiries and resolved discrepancies promptly to maintain high levels of customer satisfaction.
- Evaluated client financial positions and identified most appropriate banking products.
Junior Financial Consultant
Florida Financial Advisors
Tampa, FL
11.2022 - 03.2023
- Cultivated personal rapport with potential clients to secure meetings and strengthen relationships. Managed over 100 calls per day.
- Met with clients to discuss assets, expenses, and long-term and short-term investment goals to devise personalized financial plans.
- Guided clients through financial matters, offering tailored recommendations on investments, products, and services to align with individual needs.
- Formulated retirement planning strategies that empowered clients to optimize their retirement savings.
Education
Bachelor of Arts - Finance
University of South Florida
Tampa, FL03-2021
Skills
- Wealth management
- Securities trading
- Equity research
- Fundamental analysis
- Pipeline Management
Certification
Securities Industry Essentials (SIE)
Series 7
Series 63 & 65
Timeline
RBCC Equity Specialist
Merrill Lynch
01.2024 - Current
Bank Specialist
USAA Bank
03.2023 - 01.2024
Junior Financial Consultant
Florida Financial Advisors
11.2022 - 03.2023
Bachelor of Arts - Finance
University of South Florida