Lyndsey Madill
Atoka
Summary
My initial exposure to the fiance industry was through an entry level position in the Operations department with Wunderlich Securities. I worked my way up in the company and was able to experience many different departments of our back office including Operations, Cashiering, AML, Insurance and Annuities, etc. The experience I received led to my position on our Supervisory Desk of the Independent Reps of B Riley Wealth Management. I was able to utilize all the skills I learned in the back office and become the Admin/run the Supervisory desk for B Riley. After covid, the opportunity presented itself for me to start my own LLC to be a Client Associate to some of the Independent FA's within the B Riley Network. My variety of experience in the back office and as the Brin Admin allows me to approach issues efficiently and from different perspectives. I believe that working diligently in the right environment alongside the right people will always lead to success.
Overview
14
14
years of professional experience
Work History
Senior Client Associate
Sterling Assistant LLC
Atoka, TN
02.2022 - Current
- Provided exceptional customer service to clients and maintained positive relationships with them.
- Coordinated with other departments to ensure timely processing of client requests.
- Worked closely with compliance team to ensure adherence to industry regulations.
- Maintained up-to-date records in internal databases regarding client accounts.
- Assisted in the onboarding process by gathering required documents from new clients.
- Provided support during account openings and transfers between custodians or brokerage firms.
- Responded promptly to inquiries from both existing and potential customers via phone or email.
- Maintained confidentiality of bank records and client information.
- Process Account Maintenance and Asset movements via SmartStation.
- Send out forms via Docusign.
- Enter requests via Docupace.
- Contact our clearing firm FCC to process requests in a timely manner.
B Riley Independent Network Admin
B Riley Wealth Management
Memphis, TN
08.2014 - 01.2022
- Provided administrative support to the executive team, including scheduling meetings and managing calendars.
- Organized and maintained filing systems for physical and electronic documents, ensuring accuracy and confidentiality of records.
- Composed letters, memos, reports, emails, presentations and other written correspondence as required by management staff.
- Assisted with the planning of special events by arranging catering services, securing venues and ordering promotional materials.
- Coordinated mailings including sorting mail, preparing packages for shipping via courier service or postal service.
- Entered data into spreadsheets using Microsoft Excel or other similar programs.
- Provided operational support and training to Sales Force.
- Provide support to Branch Managers/Supervisors on the desk.
- Act as a liasion between different departsmnes, our clearing firm, and our FA's.
- Account Maintenance such as establishing periodic distribution and contribution plans, entering money movement requests, modifying addresses and beneficiaries.
- Process the onboarding of new FA's.
- Process the offboarding of FA's.
Insurance and Licensing Coordinator
Wunderlich Securities
Memphis, TN
01.2013 - 09.2015
- Prepared documents for annuity applications, including financial statements, tax returns, and other required materials.
- Provided support to customers regarding their annuities through phone calls and emails.
- Reviewed annuity contracts to ensure compliance with state regulations.
- Followed Up with Annuity companies on broker dealer changes for all FA's firm wide.
- Appointed all FA's of the firm with any company they needed to be appointed with.
- Kept the firm and every FA of the firm licenses up to date and renewed.
- Completed Applications for insurance and broker dealer applications for the firm and FA's.
- Reminded FA's firm wide of CE that is due.
- Paid for all Licenses for the firms and FA's.
Operations Specialist
departmentsliaisonDocupaceDocusignSmartStationBrincovidWunderlich Securities
Memphis, TN
01.2010 - 08.2014
- Developed and maintained an efficient process for tracking inventory levels, ensuring accuracy of data.
- Implemented new processes to streamline daily tasks, resulting in increased efficiency.
- Provided training and guidance to staff on operational procedures, policies, and regulations.
- Utilized document management system to organize company files, keeping up-to-date and easily accessible data.
- Handled the Cashiering for our firm.
- Built Business Cards, Stationary, etc. Approved and Ordered all Business Cards and Stationary for the firm.
- Onboarded new electronic filing system for the firm and ran the electronic filing system for the firm.
- Assisted our AML department including but not limited to running AML checks on new accounts.
- Assisted our Managed Program Department with processing Managed paperwork and coding of accounts.
- Process New Accounts Paperwork for entire Firm.
- Processed Stock Certs for the entire Firm.
Education
BBA - Communications
University of Memphis
Memphis, TN05-2009
Skills
- Training and mentoring
- Policy compliance
- Making insurance decisions
- Teamwork and Collaboration
- Problem-solving abilities
- Account Maintenance
- Adaptability and Flexibility
- Financial Transactions
- Customer Service
- Transaction documentation
Timeline
Senior Client Associate
Sterling Assistant LLC
02.2022 - Current
B Riley Independent Network Admin
B Riley Wealth Management
08.2014 - 01.2022
Insurance and Licensing Coordinator
Wunderlich Securities
01.2013 - 09.2015
Operations Specialist
departmentsliaisonDocupaceDocusignSmartStationBrincovidWunderlich Securities
01.2010 - 08.2014
BBA - Communications
University of Memphis