Michael Cox
Lincoln,Nebraska
Summary
I am a career-oriented person looking for a new career path with a financial company who respects and appreciates its employees. You will find my financial experience serving clients and most recently managing financial professionals to be extensive and valuable. I have a positive outlook and approach to all I do as well as a creative problem solver.
My position as a Paramedic/ Firefighter, Customer Service Representative and most recently Financial Principal have given me valuable leadership experience not only in medicine, customer service, team management but relationship building as well. I believe I have an excellent skill set, with emphasis on attention to detail, that would allow me to contribute to your demanding environment.
Overview
22
22
years of professional experience
1
1
Certification
Work History
Regional Supervision Director
Advisor Group/Securities America
03.2018 - Current
- Performed annual visits to over 150 Financial Professionals offices to build personal relationships and discuss policies and service standards.
- Engaged in trade monitoring activities of Financial Professionals to ensure best interest of clients and industry standards were in compliance.
- Provided principal support in approving all account types and subsequent transactions.
- Engaged in internal committees supporting development of firm policy revision and implementation.
Financial Principal and Securities Manager
Central Financial Services
01.2016 - 03.2018
- Maintained client files accurately and securely.
- Approved financial recommendations to client made by Financial Professionals ensuring investment types were appropriate for client objectives and risk tolerance
- Review and approve marketing materials to adhere to FINRA regulations.
- Execute trades of security products for client accounts.
Account Representative Specialist
TD Ameritrade
05.2014 - 07.2015
- Provided outstanding client service for self directed brokerage and retirement accounts.
- Performed stock, etf and mutual fund trades for clients.
- Increased customer satisfaction ratings through proactive and actionable resolutions to questions, concerns or challenges.
- Team Leader responsibilities including mentoring and educating new employees.
Firefighter Paramedic
Lincoln Fire And Rescue
01.2001 - 06.2013
- Responded to emergency medical calls to perform lifesaving procedures and other emergency medical services.
- Oversaw equipment and vehicle upkeep to maintain emergency readiness.
- Initiated first aid measures to alleviate further injury and prepared victims for transport to medical facilities.
- Evaluated situation at emergency sites to determine and execute most effective methods for saving life and property and crew safety.
- Responsible for public education about fire safety to increase awareness of fire safety and first aid.
Education
FINRA 7 24 63 66 52 53 SIE
Some College (No Degree) - Paramedic Certification
Creighton University
Omaha, NEHigh School Diploma -
Lincoln High School
Lincoln, NE1990
Skills
- Staff Management
- Public Speaking
- Regional Planning
- Reading Comprehension
- Presentations and Meetings
- Client Relationships
- Team Evaluation
- Team Communication
- Coaching and Mentoring
- Exceptional Customer Service
Accomplishments
· Multiple Phoenix service awards for saving lives
· Urban Search & Rescue Team—served on several deployments including Hurricane Katrina in New Orleans
· Congratulatory letters of achievement for superior public service by the City of Lincoln
· Team sales leader for highest gross converted assets with TD Ameritrade
· Recognition for commitment to education of fellow employees TD Ameritrade
Certification
Paramedic Certification
FINRA SERIES 7 24 66 63 52 53 and SIE
Timeline
Regional Supervision Director
Advisor Group/Securities America
03.2018 - Current
Financial Principal and Securities Manager
Central Financial Services
01.2016 - 03.2018
Account Representative Specialist
TD Ameritrade
05.2014 - 07.2015
Firefighter Paramedic
Lincoln Fire And Rescue
01.2001 - 06.2013
FINRA 7 24 63 66 52 53 SIE
Some College (No Degree) - Paramedic Certification
Creighton University
High School Diploma -
Lincoln High School
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