Summary
Overview
Work History
Education
Skills
Certification
Timeline
Generic

MWAKA WILLIAMS

Buffalo,NY

Summary

Enthusiastic financial services and sales professional highly effective at working with clients of all levels and backgrounds. Friendly and personable with adaptable approach. Exceptional knowledge in wealth management, estate planning and investment; over 16 years of Customer Service experience and 10 years of operations support experience with a Broker Dealer.

Overview

25
25
years of professional experience
1
1
Certification

Work History

Private Client Advisor

KEY INVESTMENT SERVICES LLC
01.2023 - Current
  • Identified financial planning needs and discussed the benefits of comprehensive financial planning needs with client.
  • Reviewed investment performance of overall portfolios and assessed rebalancing needs as was tailored to each client’s risk tolerance and overall investment objectives and overall financial goals.
  • Managed existing clients and tailored professional investment advice with Best Interest clause in mind.
  • Constructed Financial plans which were specific to the client’s personal goals with a focus on retirement, estate planning, insurance tax, college planning and investments.
  • Monitored client’s accounts and met with client’s periodically to ensure consistency of the financial goals.
  • Coordinated sales appointments and drafted sales presentation and completed all paperwork related to the account opening process.
  • Provided a broad range of investment solutions to help meet the client’s respective financial goals and to help with in-depth guidance to the client’s overall financial goals.

Financial Consultant

HSBC SECURITIES INC
01.2020 - 01.2022
  • Builds deep, long-lasting and mutually valuable relationships with Premier and certain non-Premier customers. Achieves agreed KPI (Key Performance Indicator) objectives by development of existing and new Premier certain non-Premier relationships.
  • Addresses identified needs for banking clients. Through a defined sales process, recommends depository, personal lending and investment and insurance solutions designed to meet client’s protection, education, retirement, legacy, basic banking, property, and lifestyle needs while also helping customers manage and grow their wealth.
  • Mortgage to be referred to appropriate Mortgage staff. Regularly meets with clients via video conference or phone, to understand and analyze their current and long-term needs and advise them on the products and services that help them achieve their goals.
  • Refers business to other areas within the bank as appropriate, in accordance with established guidelines. Completes all activity documentation to provide a record for performance tracking.
  • Engaged in targeting future opportunities. Fully utilizes and input client relationship management data, ensuring all client information is complete and kept up to date with regards to any suitability changes.
  • HSBC SECURITIES INC, Depew, NY 2014-2020 PCS Middle Office Specialist Developed and maintained exceptional client relationships while providing client support in all phases.
  • Placed unsolicited trades for clients. Resolved inaccuracies and works to correct errors with various business partners including Mutual Fund Companies, Contra Firms as well as internal clients.
  • Worked on Ad hoc projects which include evaluating our policies and procedures for efficiencies. Demonstrated knowledge of HSBC Securities policy and procedures to ensure accuracy is maintained while servicing clients.
  • Provided Securities research for client accounts. Reviewed service centers, document processing and asset movement requests. Provided clients with cost-based research on positions held.

Securities Advisor II

M&T SECURITIES
01.2012 - 01.2014
  • Resolved all issues brought to the attention of the department by clients or Financial Consultants in a timely manner. Resolved inaccuracies and worked to correct errors with appropriate individuals or departments including: Operations, Entry, Cashiers, Management, Financial Consultants and/or outside annuity carriers, Mutual Fund Companies, Contra Firms’ Operations areas and Transfers agents.
  • Escalated issues to management as necessary to evaluate process improvement. Utilize Pershing’s Netexchange Pro system to review all service centers, document processing and asset movement requests requiring approval of M&T Securities.
  • Demonstrated knowledge of M&T Securities and FINRA’s policy/procedures and regulations regarding account registrations and required documentation to ensure account maintenance accuracy.
  • Utilized Hogan entries to verify the accuracy of client information.
  • Accomplishments: Achieved Series 63 certification and NYS Life Accident and Health

Client Service Associate

STEPHENS INC
01.2010 - 01.2012
  • Developed and maintained exceptional client relationships while providing client support in all phases. Played a central role in enhancing the client experience by focusing time on servicing and growing the Financial Advisor's (FA) business.
  • Interfaced with external clients, anticipated and identified needs, solved problems, and followed through to provide exceptional service.
  • Furnished account information and quotes. Established new accounts and entered FA-approved order tickets.
  • Prepared and originated correspondence for FA(s), including marketing campaigns. Handled telephone and in-person requests for research reports, financial reports and researched account problems.
  • Created and produced reports and databases. Established and maintained filing and record-keeping necessary to support sales efforts and team organization.
  • Accomplishments: Achieved Series 7 certification.

Client Service Associate

MORGAN STANLEY SMITH BARNEY (MSSB)
01.2009 - 01.2010
  • Supported the business operations of Financial Advisors. Responded to client requests and delegated inquiries to various functional areas as appropriate.
  • Composed letters, forms and reports from rough draft, and originated correspondence for the Financial Advisor, including marketing campaigns.
  • Handled deliveries and payments. Composed account correspondence.
  • Processed and followed up operational duties linked to new accounts, risk management, funds cashiering, and order entry.
  • Interfaced with the branch management team as required and worked closely with the branch operations team to resolve client inquiries.

Inbound Sales Representative

TIME WARNER CABLE
01.2007 - 01.2008
  • Facilitated product sales and service promotions to current and potential residential customers. Communicated an in-depth knowledge of technology-based product solutions during customer consultations designed to aid the customer in making informed decisions.
  • Investigated issues and provided resolutions that resulted in customer satisfaction and retention in a fast paced environment.
  • Demonstrated a proven track record of meeting sales and productivity goals. Provided excellent customer service to internal and external customers, while capturing additional revenue opportunities and exceeding sales goals.

Sales/Renewal Representative

CONVERGYS CORPORATION
01.2001 - 01.2007
  • Reviewed accounts for service offering analysis. Monitored accounts to ensure criteria for possible upgrades were met and advised customers of the evaluation results.
  • Served as a team resource for international subscriber routing and transfers.
  • Developed strong internal and external customer relationships to ensure that goals were met and exceeded.
  • Kept abreast of policies and procedures to ensure technological compliance was communicated to customers in a timely manner, which resulted in customer retention and satisfaction.

Education

Bachelor of Arts - Psychology and International Studies

University of North Carolina At Charlotte
Charlotte, NC

Skills

  • Estate planning
  • Retirement planning
  • Portfolio management
  • Wealth management
  • Asset allocation
  • Investment strategies
  • Client relations
  • Problem-solving

Certification

  • Licensed with the following certifications:
  • FINRA Series 7 Series 63 & 65 NYS Life, Accident and Health
  • Working on the CFP certification.

Timeline

Private Client Advisor

KEY INVESTMENT SERVICES LLC
01.2023 - Current

Financial Consultant

HSBC SECURITIES INC
01.2020 - 01.2022

Securities Advisor II

M&T SECURITIES
01.2012 - 01.2014

Client Service Associate

STEPHENS INC
01.2010 - 01.2012

Client Service Associate

MORGAN STANLEY SMITH BARNEY (MSSB)
01.2009 - 01.2010

Inbound Sales Representative

TIME WARNER CABLE
01.2007 - 01.2008

Sales/Renewal Representative

CONVERGYS CORPORATION
01.2001 - 01.2007

Bachelor of Arts - Psychology and International Studies

University of North Carolina At Charlotte

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