Summary
Overview
Work History
Education
Skills
Certification
Timeline
Section name
Generic

MAY CLAYTOR

Pickerington

Summary

Your need for an experienced Registered Sales Associate as advertised [in/on source] is an excellent match to my background and career goals. I come from a work environment with a strong culture of teamwork. I am a problem solver, with great attention to detail. I have served as a gatekeeper for a top performing broker, contributing to his ability to exponentially grow business volume over the past 17 years. I have excellent interpersonal skills, enjoying constant client interaction, and delivering support to clients and advisors by opening new accounts, processing orders for existing clients, and responding to requests for information and assistance. As a motivated self-starter and productive member of the team, I am confident of my ability to contribute to the growth of the company.

Overview

25
25
years of professional experience
1
1
Certification

Work History

Senior Registered Client Associate

Capital City Partners
09.2019 - Current
  • Provided exceptional administrative support to financial advisors, ensuring timely and accurate completion of all required tasks.
  • Supported Management and Operations in day to day tasks.
  • Contributed to business development efforts by identifying opportunities for cross-selling services or expanding existing relationships.
  • Ensured compliance with company policies and industry regulations, maintaining accurate records for audits and inspections.
  • Resolved client inquiries promptly, demonstrating superior customer service skills and dedication to client satisfaction.
  • Facilitated effective communication between clients and financial advisors, ensuring all parties were informed about relevant account changes or updates.
  • Maintained strict confidentiality when handling sensitive information related to client accounts or personal finances.
  • Facilitated new client onboarding process and investment account setup.
  • Processed and verified all new account applications and documents.
  • Monitored account activity closely, proactively addressing potential issues before they escalated into larger problems for clients or the firm.
  • Participated in team meetings and strategy sessions, contributing valuable insights to improve overall performance and client outcomes.

SENIOR REGISTERED ASSOCIATE/OPERATION MANAGER

AZIZ CAPITAL MANAGEMENT LLC
12.2012 - 09.2019
  • Responsible for the day-to-day operation success and business development of the retail branch.
  • Maintain compliance files and remain current on all compliance related rules and regulations.
  • Responsible for the branch office commission adjustments, opening new accounts, completion of continuing education, and renewal of insurance license for senior broker.
  • Responsible for all outgoing and incoming correspondence
  • Responsible for the cashiering aspect of operations at the branch.

SENIOR REGISTERED SALES ASSOCIATE

STIFEL NICOLAUS & CO INC
10.2008 - 12.2012
  • A multifaceted position involving a variety of tasks. But main objective was support and growth of the senior broker I was working with.
  • Entered block trades and followed up on executions
  • Monitored daily stock prices to determine if a stop price adjustment was needed.

SENIOR REGISTERED SALES ASSOCIATE

HILLIARD LYONS
04.2007 - 10.2008
  • Prepared registered stock certificates for receipt into client accounts.
  • Established and maintained new accounts by filing required paperwork with the compliance department.
  • Provided accurate and prompt customer service to clients.

REGISTERED SALES ASSOCIATE

SMITH BARNEY
12.2000 - 04.2007
  • Committed to providing the highest level of organization, professionalism and customer service to both my company and the brokers I represented.
  • Helped transition a new financial team to the Chagrin Falls, Ohio office.
  • Successfully planned and executed annual client appreciation party. Also, coordinated seminars for the branch collectively and for advisors on an individual basis.
  • Received highest accolade from Senior Management, was hand-picked for management training.
  • Demonstrated ability to provide exceptional support and service for a broad range of clients and brokers.

Education

Bachelor of Science - Business Administration

Franklin University
Columbus, Ohio
05.2007

Skills

  • Eighteen years' experience in the financial industry
  • Detailed knowledge of banking, financial markets, and analysis and reporting a financial data
  • Ability and great knowledge of using standard office equipment
  • Team player-People oriented enjoy working with general public
  • Comprehensive understanding of clerical and administrative procedures and systems
  • Microsoft Word and Excel
  • Google Sheets
  • Notable knowledge of rules and regulations to keep Office compliant
  • Good Negation skills

Certification

  • Series 7
  • Series 63
  • Ohio Notary Republic

Timeline

Senior Registered Client Associate

Capital City Partners
09.2019 - Current

SENIOR REGISTERED ASSOCIATE/OPERATION MANAGER

AZIZ CAPITAL MANAGEMENT LLC
12.2012 - 09.2019

SENIOR REGISTERED SALES ASSOCIATE

STIFEL NICOLAUS & CO INC
10.2008 - 12.2012

SENIOR REGISTERED SALES ASSOCIATE

HILLIARD LYONS
04.2007 - 10.2008

REGISTERED SALES ASSOCIATE

SMITH BARNEY
12.2000 - 04.2007

Bachelor of Science - Business Administration

Franklin University

Section name

  • Organized, meticulous, detailed-oriented and able to multitask.
  • Good problem solving and time management skills.
  • Ability to exercise good judgment by recognizing urgency and setting priorities.
  • Detailed knowledge of banking, financial markets, analysis, and reporting of financial data.
  • Developed client relationship model for advisor for portfolio with $70 million under assets.
  • Certification in Series 7 and Series 63, and Ohio notary public.
  • Helped transition new financial team to office in Chagrin Falls, Ohio.
  • Planned and executed annual client appreciation events and seminars for branch personnel.
  • These proven abilities can contribute to (Company Name's) continued success. I would welcome the opportunity to discuss my background with you in detail and to learn more about your company and its goals. My résumé is attached and offers additional information about my specific achievements. I look forward to our conversation.

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