Summary
Overview
Work History
Education
Skills
Timeline
Generic

KAREN McGUINNESS

HAZLET,NJ

Summary

Customer-oriented sales professional with 26 years of experience building relationships, cultivating partnerships and growing profit channels. Strategic-thinking leader with expertise in expanding network connections, persuasively introducing products, territory development and revealing customer needs to deliver solutions.

Overview

Work History

Sr Registered Client Associate

Morgan Stanley, Wealth Management
Sea Girt , NJ
12/01/17 - 12/16/23
  • Assisted clients with account inquiries, transfers and other financial transactions.
  • Provided comprehensive support to Financial Advisors in daily operations of the branch office.
  • Executed trades on behalf of clients as directed by Financial Advisors.
  • Conducted new account opening procedures and maintained existing accounts according to company policies and regulations.
  • Prepared performance reports and conducted portfolio reviews for clients.
  • Developed marketing materials such as brochures, flyers, newsletters. to promote services offered by the firm.
  • Generated customized reports using various software programs including Microsoft Excel and Access.
  • Reviewed incoming mail and prepared appropriate responses or forwarding letters, documents per instructions from advisors, managers.
  • Performed administrative tasks such as filing documents, data entry, scanning records into electronic format.
  • Responded promptly to all customer inquiries via telephone or email in an efficient manner.
  • Served as primary contact for client inquiries related to their investments or accounts.
  • Maintained knowledge of products, services, technology platforms and industry trends in order to provide best-in-class service to clients.
  • Managed multiple projects simultaneously while ensuring accuracy of work product.
  • Attended educational seminars and training sessions regularly in order to keep up-to-date with changing industry standards.
  • Participated actively in team meetings providing feedback on potential solutions for current issues facing the organization.
  • Developed and deepened relationships with new and existing clients to advance progress and improve business.
  • Promoted business to increase customer base and grow revenue.
  • Answered customer questions to maintain high satisfaction levels.
  • Created spreadsheets in Microsoft Excel for record-keeping and reporting.
  • Coordinated transfer of security certificates to schedule delivery.

Sr Registered Client Service Assoc

Wells Fargo Advisors
Spring Lake , NJ
09/14/12 - 12/01/17
  • Assisted clients with account inquiries, transfers and other financial transactions.
  • Provided comprehensive support to Financial Advisors in daily operations of the branch office.
  • Executed trades on behalf of clients as directed by Financial Advisors.
  • Conducted new account opening procedures and maintained existing accounts according to company policies and regulations.
  • Prepared performance reports and conducted portfolio reviews for clients.
  • Developed marketing materials such as brochures, flyers, newsletters. to promote services offered by the firm.
  • Generated customized reports using various software programs including Microsoft Excel and Access.
  • Reviewed incoming mail and prepared appropriate responses or forwarding letters, documents per instructions from advisors, managers.
  • Performed administrative tasks such as filing documents, data entry, scanning records into electronic format.
  • Responded promptly to all customer inquiries via telephone or email in an efficient manner.
  • Served as primary contact for client inquiries related to their investments or accounts.
  • Maintained knowledge of products, services, technology platforms and industry trends in order to provide best-in-class service to clients.
  • Managed multiple projects simultaneously while ensuring accuracy of work product.
  • Attended educational seminars and training sessions regularly in order to keep up-to-date with changing industry standards.
  • Participated actively in team meetings providing feedback on potential solutions for current issues facing the organization.
  • Developed and deepened relationships with new and existing clients to advance progress and improve business.
  • Promoted business to increase customer base and grow revenue.
  • Assisted clients with planning for and funding retirements using mutual funds and other strategies.
  • Created spreadsheets in Microsoft Excel for record-keeping and reporting.
  • Coordinated transfer of security certificates to schedule delivery.

Branch Service Manager

RBC Capital Markets
Wall , NJ
11/09/09 - 09/14/12
  • Developed and implemented customer service policies and procedures to ensure maximum customer satisfaction.
  • Provided effective coaching, training, and mentoring to branch staff in order to increase sales performance.
  • Conducted regular meetings with team members to review performance objectives, discuss challenges, and provide feedback.
  • Reviewed daily activity reports from branch employees to ensure compliance with banking regulations and procedures.
  • Monitored daily operations for efficiency and accuracy of transactions.
  • Assisted customers with inquiries regarding account balances, loan applications, deposits, withdrawals, transfers.
  • Resolved escalated customer complaints in a professional manner while ensuring customer satisfaction.
  • Ensured that all financial transactions complied with federal laws and bank regulations.
  • Promoted a positive work environment by encouraging team collaboration and problem solving.
  • Provided guidance to junior staff members on how best to handle complex customer requests or complaints.
  • Organized promotional events such as seminars or workshops in order to build relationships with potential clients.
  • Oversaw the hiring process for new employees including interviewing candidates and conducting background checks.
  • Managed inventory levels of supplies needed for day-to-day operations of the branch.
  • Developed programs aimed at increasing employee morale among staff members.
  • Checked payroll, vendor payments and other accounting disbursements for accuracy and compliance.
  • Maintained regular performance appraisals for subordinates through verbal, written and on-going review programs.
  • Coordinated preparation of external audit materials and external financial reporting.

Sr Registered Client Associate

Morgan Stanley Smith Barney
Red Bank , NJ
01/07/08 - 2009.11
  • Assisted clients with account inquiries, transfers and other financial transactions.
  • Provided comprehensive support to Financial Advisors in daily operations of the branch office.
  • Executed trades on behalf of clients as directed by Financial Advisors.
  • Conducted new account opening procedures and maintained existing accounts according to company policies and regulations.
  • Prepared performance reports and conducted portfolio reviews for clients.
  • Developed marketing materials such as brochures, flyers, newsletters. to promote services offered by the firm.
  • Generated customized reports using various software programs including Microsoft Excel and Access.
  • Performed administrative tasks such as filing documents, data entry, scanning records into electronic format.
  • Responded promptly to all customer inquiries via telephone or email in an efficient manner.
  • Maintained knowledge of products, services, technology platforms and industry trends in order to provide best-in-class service to clients.
  • Served as primary contact for client inquiries related to their investments or accounts.
  • Managed multiple projects simultaneously while ensuring accuracy of work product.
  • Attended educational seminars and training sessions regularly in order to keep up-to-date with changing industry standards.
  • Ensured timely completion of assigned tasks within specified deadlines.
  • Participated actively in team meetings providing feedback on potential solutions for current issues facing the organization.
  • Developed and deepened relationships with new and existing clients to advance progress and improve business.
  • Answered customer questions to maintain high satisfaction levels.
  • Created spreadsheets in Microsoft Excel for record-keeping and reporting.
  • Coordinated transfer of security certificates to schedule delivery.

Sr Registered Client Service Assoc

UBS Financial Services
Red Bank , NJ
04/16/01 - 01/04/08
  • Assisted clients with account inquiries, transfers and other financial transactions.
  • Provided comprehensive support to Financial Advisors in daily operations of the branch office.
  • Executed trades on behalf of clients as directed by Financial Advisors.
  • Conducted new account opening procedures and maintained existing accounts according to company policies and regulations.
  • Prepared performance reports and conducted portfolio reviews for clients.
  • Developed marketing materials such as brochures, flyers, newsletters. to promote services offered by the firm.
  • Generated customized reports using various software programs including Microsoft Excel and Access.
  • Performed administrative tasks such as filing documents, data entry, scanning records into electronic format.
  • Responded promptly to all customer inquiries via telephone or email in an efficient manner.
  • Served as primary contact for client inquiries related to their investments or accounts.
  • Maintained knowledge of products, services, technology platforms and industry trends in order to provide best-in-class service to clients.
  • Managed multiple projects simultaneously while ensuring accuracy of work product.
  • Attended educational seminars and training sessions regularly in order to keep up-to-date with changing industry standards.
  • Ensured timely completion of assigned tasks within specified deadlines.
  • Participated actively in team meetings providing feedback on potential solutions for current issues facing the organization.
  • Developed and deepened relationships with new and existing clients to advance progress and improve business.
  • Answered customer questions to maintain high satisfaction levels.
  • Created spreadsheets in Microsoft Excel for record-keeping and reporting.
  • Coordinated transfer of security certificates to schedule delivery.
  • Provided high-level customer service to clients, responding to inquiries and resolving complaints.
  • Facilitated onboarding of new clients, ensuring all paperwork was completed accurately and in a timely manner.
  • Managed client portfolios, including trading, rebalancing, and account maintenance activities.
  • Maintained accurate records of client information and transactions in compliance with company policies and procedures.
  • Developed strong relationships with clients through regular contact via phone or email.
  • Executed trades on behalf of clients according to instructions provided by them or their advisors.
  • Created customized presentations outlining portfolio performance metrics for individual clients.
  • Advised senior management regarding strategies to improve customer service levels.
  • Attended industry conferences and networking events as a representative of the firm.
  • Participated in team meetings discussing best practices relating to client service delivery.
  • Assisted in training new staff members on the company's systems and procedures.
  • Reviewed and resolved client concerns and issues, researching relevant details and clearly communicating solutions.
  • Followed up with customers through calls and emails to proactively resolve issues and maintain satisfaction.
  • Scheduled and confirmed appointments based on customer availability.
  • Scheduled meetings with prospective and existing clients to optimize long-term business success.
  • Presented and explained fees, clearly clarifying invoices and company policies.
  • Documented customer correspondence in CRM to track requests, problems and solutions.

Client Service Associate

AG Edwards
Spring Lake , NJ
04/14/97 - 04/13/01
  • Provided superior customer service by responding promptly to client inquiries and requests.
  • Developed relationships with clients through regular contact, including phone calls and emails.
  • Maintained accurate records of all client transactions and communications.
  • Processed new accounts quickly and efficiently while ensuring compliance with regulations.
  • Generated reports detailing the activities of each account, including trade history and portfolio performance.
  • Organized digital files containing sensitive client data in a secure manner for easy retrieval when needed.
  • Resolved issues that arose during account transfers or other operations processes in a timely fashion.
  • Followed up with clients regarding open items or outstanding paperwork required for completion of transactions.
  • Gathered information from clients for entry into computer database.
  • Delivered high level of service to clients to both maintain and extend relationships for future business opportunities.
  • Promoted client satisfaction by working with operational teams in proper resolution of service issues.

Education

Series 63 - Investing

North American Securities Administrators Assoc
Red Bank, NJ
2010-02

Series 66 - Investing

North American Securities Administrators Assoc
Wall, NJ
2001-06

Series 7 - Investing

NYSE
Red Bank
2001-04

Skills

  • Performance Reporting
  • Asset Allocation
  • Cash Flow Management
  • Retirement Planning
  • Account Administration
  • Wealth Management
  • Customer Assistance
  • Exceeding Customer Expectations
  • Organization
  • Customer Service
  • Team Cooperation
  • Staff Support

Timeline

Sr Registered Client Associate

Morgan Stanley, Wealth Management
12/01/17 - 12/16/23

Sr Registered Client Service Assoc

Wells Fargo Advisors
09/14/12 - 12/01/17

Branch Service Manager

RBC Capital Markets
11/09/09 - 09/14/12

Sr Registered Client Associate

Morgan Stanley Smith Barney
01/07/08 - 2009.11

Sr Registered Client Service Assoc

UBS Financial Services
04/16/01 - 01/04/08

Client Service Associate

AG Edwards
04/14/97 - 04/13/01

Series 63 - Investing

North American Securities Administrators Assoc

Series 66 - Investing

North American Securities Administrators Assoc

Series 7 - Investing

NYSE

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KAREN McGUINNESS