Lina Maria Garcia
Coral Gables,FL
Summary
Persistent leader eager to lead and grow organizations. Skilled in strategic planning, problem-solving, and communication with good understanding of business principles, project management and team leadership. Collaborative with relentless work ethic. Organized and dependable candidate successful at managing multiple priorities with a positive attitude. Willingness to take on added responsibilities to meet team goals. Detail-oriented team player with strong organizational skills. Ability to handle multiple projects simultaneously with a high degree of accuracy.
Overview
21
21
years of professional experience
1
1
Certification
Work History
President/Financial Advisor/Chief Compliance Officer
UCB Financial Advisers INC
06.2005 - 10.2022
- Monitored and executed compliance tasks related to investment advisory responsibilities.
- Prepared and submitted regulatory filings in timely manner.
- Maintained up-to-date knowledge of current and emerging compliance regulations.
- Reviewed, revised and updated compliance policies and procedures to confirm continual compliance with applicable laws.
- Provided investment advised to wealthy individuals which included executing transactions on behalf of investors and monitor capital markets.
- Actively prospected in Latin America for assets and successfully managed a $200 million portfolio.
International Private Banker
Colonial Bank/Colonial Brokerage
04.2004 - 05.2005
- Established new accounts for high net worth individuals and serviced existing accounts to maximize revenue.
- Developed tailored solutions to meet individual banking needs.
- Helped clients protect assets through variety of strategies.
- Resolved customer complaints and disputes to maintain satisfaction and loyalty.
- Assisted customers with completing required forms for opening and closing bank accounts.
- Implemented strategies to increase customer retention, enabling investment growth.
- Analyzed financial needs of clients and developed tailored strategies to meet goals.
- Presented financial plans and investment recommendations to clients.
- Cultivated strong customer relationships by providing tailored advice and services.
Unemployed
Personal Proyect
09.2003 - 03.2004
Financial Advisor/Associate
Goldman Sachs Asset Management
08.2001 - 08.2003
- Developed personal rapport with each client to maintain customer loyalty and establish long-term accounts.
- Educated clients on various financial matters and provided professional recommendations on investment opportunities, products and services based on individual needs.
- Met with clients to discuss assets, expenses, and long-term and short-term investment goals to devise personalized financial plans.
- Educated clients on various financial matters and provided professional recommendations on investment opportunities, products, and services based on each clients' individual needs.
- Cultivated and strengthened relationships with new clients and educated clients on account services and capabilities.
- Developed comprehensive retirement planning strategies to help clients maximize retirement savings.
- Worked with clients to support understanding of rationale and details of financial strategies.
- Helped individuals and families build and execute wealth management strategies based on unique goals and objectives.
- Helped clients make informed decisions about financial future.
- Recommended specific investments to help clients meet financial goals.
- Devised comprehensive financial plans for clients to achieve short and long-term financial goals.
- Researched and evaluated potential investment products for clients.
- Collaborated with clients to develop customized investment portfolios.
- Created financial models to analyze and evaluate investment strategies.
Education
MBA - Finance
Kellogg Graduate School of Management (MBA)
Evanston, IL05.2001
Bachelor of Arts - Economics
Boston University
Boston, MA05.1996
Bachelor of Science - Finance
Boston University
Boston, MA05.1996
Skills
- Revenue Generation
- Business Planning
- Regulatory Compliance
- Business Administration
- Operations Management
- Organizational Leadership
Certification
- Series 65
- Series 7 - MQP Member
Additional Information
Refer to Form U4
Languages
English
Native or Bilingual
Spanish
Native or Bilingual
Timeline
President/Financial Advisor/Chief Compliance Officer
UCB Financial Advisers INC
06.2005 - 10.2022
International Private Banker
Colonial Bank/Colonial Brokerage
04.2004 - 05.2005
Unemployed
Personal Proyect
09.2003 - 03.2004
Financial Advisor/Associate
Goldman Sachs Asset Management
08.2001 - 08.2003
MBA - Finance
Kellogg Graduate School of Management (MBA)
Bachelor of Arts - Economics
Boston University
Bachelor of Science - Finance
Boston University
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