Kathryn Sengupta
Pittsford,NY
Summary
Experienced and detail-oriented financial assistant with a proven track record of providing exceptional support to executives and financial managers. Skilled in analyzing financial trends, forecasting income, and conducting cost-benefit analysis to drive informed decision-making. Proficient in generating accurate financial statements, reports, and tax records. With over 9 years of experience in the finance industry, brings a deep understanding of financial operations and a commitment to delivering high-quality results.
Overview
8
8
years of professional experience
1
1
Certification
Work History
Executive/Financial Assistant
Karpus Investment Management, Inc.
12.2023 - Current
- Preparation of meeting documents, financial plan input, calendar maintenance
- Maintain CRM database for advisor clients and opened/maintained accounts.
Registered Financial Assistant
Thorley Wealth Management, Inc.
09.2022 - 09.2023
- Maintained advisor calendar, CRM and prepared and attended for all client meetings
- Assisted with marketing events and activities
- Updated client information into financial planning software.
Financial Planning Assistant
Nocon & Associates
03.2021 - 08.2022
- Prepared meeting documents and recommendations for advisor to assist clients in achieving their goals and objectives
- Processed necessary trades, insurance and annuity illustrations based on recommendations
- Created comprehensive financial plans with supporting projections and illustrations.
Financial Services Professional
MassMutual Insurance Company
12.2019 - 03.2021
- Obtained professional license in Life, Accident, and Health to properly provide insurance planning
- Engaged and networked with current clients to identify new referrals and continuously grow the book of business
- Assisted clients one-on-one in developing financial plans by completing a needs and goals analysis.
Chief Operations Officer/Paraplanner
LynnLeigh & Company, LLC.
05.2016 - 03.2019
- Delivered technical, analytical, and client support to enable financial advisors to focus on business development, strategy, and relationship establishment
- Completed data compilation, planning, preparation, and analysis of financial plans, reports, and correspondence
- Developed intake process/workflow strategy.
Education
Bachelor of Science - Psychology
State University of New York College at Brockport
Brockport, NY06.1989
Skills
- Project Management
- Employee training/mentoring
- Microsoft Office Suite
- QuickBooks
- MoneyGuide Pro
- EMoney
- Asset Management
- Problem-solving abilities
- Multitasking Abilities
- Excellent Communication
- Morningstar
- Excellent interpersonal skills, relationship management, and collaboration among disciplines
Certification
- Certified Financial Planner®, professional, 7/2024
- Notary Public, 2025
- LA License NYS, 2025
- FINRA Series 7
- Series 66
Timeline
Executive/Financial Assistant
Karpus Investment Management, Inc.
12.2023 - Current
Registered Financial Assistant
Thorley Wealth Management, Inc.
09.2022 - 09.2023
Financial Planning Assistant
Nocon & Associates
03.2021 - 08.2022
Financial Services Professional
MassMutual Insurance Company
12.2019 - 03.2021
Chief Operations Officer/Paraplanner
LynnLeigh & Company, LLC.
05.2016 - 03.2019
Bachelor of Science - Psychology
State University of New York College at Brockport
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