Kimberly Smith
Rogers,AR
Summary
Knowledgeable Registered Sales Assistant effective at helping financial professionals accomplish daily tasks. Well-versed in managing clerical, financial and client relations needs. Over 25 years of related experience with successful track record in Investment industry. Dedicated financial support professional adept at coordinating documents, setting appointments, and supporting sales needs. Good verbal and written communication abilities. Current Series 7, 63 and 66 licenses.
Overview
29
29
years of professional experience
Work History
Registered Sales Assistant and Office Manager
Raymond James
04.2018 - Current
- Assisting advisors with the opening of new accounts and preparing account documents
- General account maintenance
- Scheduling client meetings
- Keeping branch compliance files up to date
- Assisting clients with online access and account questions
- Keeping advisors informed of security updates and technology advances within the Company
- Informing advisors of upcoming changes within regulation in the industry
- Helping clients face to face or over the phone with questions and requests.
Registered Sales Assistant
Stephens Inc.
09.2014 - 08.2017
- I served as an assistant with extensive experience in the coordination, planning and support of daily operational and assisted an Advisor that I have had the privilege of working with on and off for over 10 years
- I handled all the trading on our clients managed value line portfolios and keep track of priority clients with monthly spreadsheet evaluations
- My primary function is to take care of client needs and help the financial advisor with time management, scheduling, paperwork and presentations
- Performing administrative functions in a highly confidential environment.
Registered Client Associate, Branch Manager Assistant
Merrill Lynch, Pierce Fenner & Smith
12.2003 - 09.2014
- Serviced clients for several different teams during my tenure
- My duties included processing daily work for clients
- This included issuing checks, moving funds, making trades, opening new accounts, processing ACAT transfers, domestic and international wires in and out of accounts, establishing home and car loans for clients, selling banking products, etc
- I also was responsible for assisting the Financial Advisors I was assigned
- This included scheduling appointments, booking travel, preparing expense reports, answering phones, screening calls, cold calling, filing, taking notes and preparing for client meetings
- I worked as the branch managers assistant for two different managers during my tenure
- I gained experience and knowledge with HR on the hiring processes of new employees and served as branch coach for new rehires and served as an advocate of new ideas within our Arkansas complex
- I gained my Series 66 license during my employment with Merrill Lynch.
Operations Manager
Morgan Keegan
08.1998 - 12.2003
- I worked inside 'the cage' processing all pencil tickets for stock, bond, and mutual fund trades
- Online trading wasn't available during this time, so every ticket was manually entered by me
- I processed all faxes and incoming/outgoing mail correspondence, scheduling, accounts payable for our office along with all expense reports for everyone in my office
- I also processed all wires, check requests and maintenance requests from all clients
- It was during this time that I passed my Series 7 exam and Series 63 exam and became a registered agent with the NYSE and SEC.
Teller Supervisor Motorbank Office
First Commercial Bank/ Regions Bank
02.1998 - 08.1998
- Supervised the teller line inside a convenient drive thru banking center
- Duties included scheduling the tellers, balancing the vault, balancing the ATM machine (including adding funds and maintenance), and handling deposits through the night deposit system
- During this period, I helped transition our bank through two mergers
- The first was when FSB was purchased by First Commercial Bank
- The second was when First Commercial was purchased by Regions Bank.
Teller/ Customer Service Representative
Federal Savings Bank- A Kemmons Wilson Company
07.1995 - 02.1998
- I worked as a teller inside the bank processing customer deposits, withdrawals, and transfers
- I also worked in the customer service area as well during this period helping customers over the phone as well as in person to help with more time-consuming tasks
- I helped clients with safe deposit boxes and processed all of the bank’s garnishments and levies during this period of time.
Education
High School Diploma -
Rogers High School
Rogers, ARNo Degree - Business Administration And Data Analysis- Finance
Liberty University
Lynchburg, VA 01.2024 - Current
Skills
- Microsoft Office (10 years)
- 10-Key (10 years)
- Portfolio Management
- Personal Assistant Experience
- Professional Phone Etiquette
- Office Management
- Articulate and well-spoken
- Strong problem solver
- Time management- Works well under pressure
- Oversight of Compliance
- Operational Support
- CRM Software
- Clerical Support
Work Preference
Work Type
Full TimeLocation Preference
RemoteOn-SiteHybridImportant To Me
Work-life balanceHealthcare benefits401k matchWork from home optionTimeline
No Degree - Business Administration And Data Analysis- Finance
Liberty University
01.2024 - Current
Registered Sales Assistant and Office Manager
Raymond James
04.2018 - Current
Registered Sales Assistant
Stephens Inc.
09.2014 - 08.2017
Registered Client Associate, Branch Manager Assistant
Merrill Lynch, Pierce Fenner & Smith
12.2003 - 09.2014
Operations Manager
Morgan Keegan
08.1998 - 12.2003
Teller Supervisor Motorbank Office
First Commercial Bank/ Regions Bank
02.1998 - 08.1998
Teller/ Customer Service Representative
Federal Savings Bank- A Kemmons Wilson Company
07.1995 - 02.1998
High School Diploma -
Rogers High School