Kristi King
Celina,TX
Summary
Experienced Associate Wealth Management Advisor with demonstrated knowledge and success in the financial services industry. Skilled in Finance, Investments, COLI/BOLI, Planning & Investment Advising, Investment Management Services - including Retirement Plans/Deeds Plan Administration; as well as other investment product consulting/insurance engagements. Strong business development and over 28 years experience.
Overview
31
31
years of professional experience
1
1
Certification
Work History
Director of Investment Services & Operations - Associate Wealth Management Advisor
Northwestern Mutual
02.2020 - Current
- Assisted in growing the invest side of the firm from 40M in February of 2020 to $170M in November of 2025.
- Assisted in the creation of financial models to analyze and evaluate investment strategies.
- Updated clients on changes in tax laws and other regulations affecting investments.
- Recommended specific investments to help clients meet financial goals.
- Collaborated with clients to develop customized investment portfolios.
- Researched and evaluated potential investment products for clients.
- Educated clients on potential risks and rewards associated with various investments.
- Assisted clients with budgeting and cash flow management.
- Advised clients on investments, retirement and estate planning.
- Presented financial plans and investment recommendations to clients.
- Devised comprehensive financial plans for clients to achieve short and long-term financial goals.
- Studied financial documents to identify potential areas needing improvement.
- Educated clients on financial topics and best practices.
- Supported senior advisors with daily tasks including preparing client presentations, processing trades, and managing account documentation.
- Streamlined operational processes, significantly reducing turnaround time for client requests and transactions.
- Evaluated portfolio performance regularly against benchmarks, adjusting strategies accordingly to ensure long-term success.
- Provided exceptional customer service, consistently exceeding expectations and receiving positive feedback from clients.
- Increased assets under management by proactively identifying opportunities for portfolio growth within existing accounts.
- Maintained compliance with industry regulations by staying current on updates and implementing necessary changes to policies and procedures.
- Developed customized asset allocation models tailored to individual client needs, objectives, and risk tolerance levels.
- Collaborated with team members to develop tailored investment strategies, resulting in increased client retention rates.
- Collaborated with senior advisors to refine service offerings based on client feedback and market demands.
- Mentored junior associates on relationship management and investment analysis techniques.
- Coordinated with legal and tax professionals to ensure compliance and optimal asset allocation.
- Developed tailored wealth management strategies for diverse client portfolios.
Associate Financial Representative to Chris A Messick, CFP CPWA and David Peacock, CFP
Northwestern Mutual
07.2013 - 02.2020
- Reviewed insurance applications for accuracy and compliance with regulations.
- Processed policy changes and renewals efficiently, ensuring timely updates in system.
- Led team meetings to discuss workflow improvements and share best practices among staff.
- Participated in networking events and developed relationships with potential clients to increase sales.
- Enhanced customer satisfaction by efficiently addressing and resolving insurance-related inquiries.
- Collaborated with underwriters to assess risk and determine appropriate coverage options.
- Enhanced client satisfaction by delivering personalized wealth management solutions and strategies.
- Coordinated educational seminars on various financial topics to engage existing clients while attracting prospective ones as well.
- Identified new business opportunities by networking and building strong relationships with potential clients.
- Implemented comprehensive financial plans for high-net-worth clients to optimize their portfolios.
- Developed and maintained strong relationships with clients to maximize satisfaction.
- Helped clients make informed decisions about financial future.
- Monitored and updated financial plans to comply with client goals.
- Analyzed financial needs of clients and developed tailored strategies to meet goals.
- Updated clients on changes in tax laws and other regulations affecting investments.
- Collaborated with clients to develop customized investment portfolios.
- Educated clients on potential risks and rewards associated with various investments.
- Assisted clients with budgeting and cash flow management.
- Presented financial plans and investment recommendations to clients.
- Devised comprehensive financial plans for clients to achieve short and long-term financial goals.
Associate Financial Representative for Jon Mark Sprowl & Todd A Bryant
Northwestern Mutual
07.2011 - 07.2013
- Educated clients on coverage options, ensuring informed decision-making and compliance with regulations.
- Built strong relationships with clients through consistent communication and excellent customer service.
- Responded to customer calls swiftly to resolve issues and answer questions.
- Educated clients on the importance of adequate insurance coverage, fostering trust and loyalty among the existing client base.
- Prepared and reviewed insurance applications to verify compliance with regulations.
- Built relationships with clients using active listening and issue resolution to provide excellent service.
- Increased client satisfaction by providing personalized insurance solutions tailored to individual needs.
- Developed comprehensive knowledge of various insurance products, enabling effective recommendations for clients'' unique situations.
- Negotiated with insurance underwriters to obtain better coverage and improved rates for clients.
- Collaborated with underwriters to assess risk and determine appropriate coverage options for clients.
- Utilized CRM software to manage client relationships.
- Streamlined administrative tasks, improving overall office efficiency and productivity.
Associate Financial Representative for Promus Financial at Northwestern Mutual
Northwestern Mutual
09.2007 - 07.2011
- Executive Benefits
- COLI/BOLI
Senior Customer Service Experience - Individual Life/Park Ave Securities
Guardian Life
08.2004 - 09.2007
Senior Customer Experience - Annuity Division (GIAC)
Guardian Life
01.2001 - 08.2004
- Won the 2003 Dalbar Recognition Award
Senior Exchange Specialist Management Team - Annuity Division (GIAC)
Guardian Life
01.1995 - 01.2001
Skills
- Analysis of customized portfolios
- Investment strategy
- Financial securities expertise
- Investment portfolio diversification
- Retirement strategy development
- Decision-making
- People management
- Strategies and goals
- Staff development
- Financial reporting
- Rules and regulations
Certification
- FINRA Series 7 - FINRA
- FINRA Series 63 - FINRA
- FINRA Series 6 - FINRA
Timeline
Director of Investment Services & Operations - Associate Wealth Management Advisor
Northwestern Mutual
02.2020 - Current
Associate Financial Representative to Chris A Messick, CFP CPWA and David Peacock, CFP
Northwestern Mutual
07.2013 - 02.2020
Associate Financial Representative for Jon Mark Sprowl & Todd A Bryant
Northwestern Mutual
07.2011 - 07.2013
Associate Financial Representative for Promus Financial at Northwestern Mutual
Northwestern Mutual
09.2007 - 07.2011
Senior Customer Service Experience - Individual Life/Park Ave Securities
Guardian Life
08.2004 - 09.2007
Senior Customer Experience - Annuity Division (GIAC)
Guardian Life
01.2001 - 08.2004
Senior Exchange Specialist Management Team - Annuity Division (GIAC)
Guardian Life
01.1995 - 01.2001
Honors & Awards
Dalbar Recognition Award - Dalbar, 2003