Joseph Rosano
Staten Island,New York
Summary
Personable candidate committed to helping clients and my team. Passionate about providing sound financial advice and supporting clients in meeting their financial goals. Desire to develop and implement investment strategies tailored to clients individual needs and objectives.
Overview
3
3
years of professional experience
Work History
Financial Advisor
UBS Financial Services
Weehawken, NJ
07.2023 - Current
- Work as a Corporate Stock Benefit Consultant with employees of companies who hold equity awards with UBS.
- Complete full service request and award education with participants to help fulfill their needs and provide an understanding of what they have.
- Complete a financial wellness review with participants to gain an understanding of financial goals and objectives.
- Come with a comprehensive plan and recommendation for the client in hopes to onboard them as a UBS client.
Wealth Management Associate
UBS Financial Services
07.2023 - 04.2025
- Dedicated and result-driven service associate with a proven track record in the wealth management sector at UBS Financial Services.
- One of the leading associates on my team in a client retention campaign that successfully retained over $7.5 million in assets under management (AUM).
- Possess a deep understanding of Know Your Client (KYC) guidelines, ensuring compliance, and maintaining the integrity of client information.
- Experienced in the process of opening client accounts, placing trades, managing account documentation, disbursements and addressing client inquiries.
Northwestern Mutual
Financial Representative
Red Bank, NJ
06.2022 - 09.2022
- Built and maintained client bases, kept current client financial plans up-to-date and built a portfolio of new clients on an ongoing basis.
- Developed rapport with clients and fostered long-term relationships.
- Knowledgeable about Northwestern Mutual financial products and financial market trends.
Education
SUNY Polytechnic Institute - Utica, NY -
Bachelor of Science - Finance
05.2023
License/Certifications & Skills
- FINRA SIE - Securities Industry Essentials Exam
- FINRA Series 7 - General Securities Representative Exam
- NASAA Series 66 - Uniform Combined State Law Exam
- Proficient in Microsoft Word, Excel, and PowerPoint
Timeline
Financial Advisor
UBS Financial Services
07.2023 - Current
Wealth Management Associate
UBS Financial Services
07.2023 - 04.2025
Northwestern Mutual
Financial Representative
06.2022 - 09.2022
SUNY Polytechnic Institute - Utica, NY -
Bachelor of Science - Finance