Nancy Barker
Red Bank,NJ
Overview
37
37
years of professional experience
1
1
Certification
Summary
Dynamic and dependable professional with a proven track record of managing multiple priorities while maintaining a positive attitude. Committed to fostering collaboration within a team of investment professionals to drive franchise growth. Eager to contribute expertise and enthusiasm to elevate team performance and achieve shared goals.
Work History
Customer Trainer & Fixed Income Product Owner
PERSHING, A BNY MELLON COMPANY
Jersey City, New Jersey
11.2004 - 03.2026
- Customer Training: Conducted training sessions for over 1,100 broker-dealers and over 900 RIA firms using classroom formats and e-Learning. Training ranged from trading to revenue reporting and billing applications. Additionally, I collaborated with Pershing’s sales team while prospecting to demonstrate how the firm’s proprietary technology could help grow and manage broker dealer and advisory firm’s businesses.
- Fixed Income Product Ownership: Shifting direction, I became the product owner of Pershing’s electronic order entry specifically for fixed income. I designed and developed platforms where advisors could search for bond inventory, create optimized proposals, and place orders electronically for the full suite of bond types. This involved client engagement and interaction with FINRA and the MSRB to ensure applications were kept current with regulations.
Financial Advisor
RBC DAIN RAUSCHER
Florham Park, New Jersey
06.1998 - 10.2004
- At RBC I cultivated and maintained a significant client base. I worked with clients to determine their current income, expenses, insurance coverage, tax status, financial objectives, risk tolerance, and other information needed to develop a financial plan.
- During my years at RBC, I also started to work with Institutional clients, which provided me exposure to a new segment of the securities industry.
- Advised clients on investment strategies aligned with risk tolerance, goals, and long-term financial plans.
- Developed comprehensive financial plans covering retirement, education funding, estate considerations, and wealth preservation.
- Managed diversified portfolios, reviewing asset allocation and rebalancing holdings to support changing objectives.
Financial Advisor
MORGAN STANLEY - DEAN WITTER
Morristown, New Jersey
07.1994 - 06.1998
- Began position as producing Financial Advisor at Morgan Stanley after completing training program, prospecting new business and managing retail and retirement accounts.
- Earned insurance license and Retirement Planning specialist title, enhancing expertise in retirement solutions.
- Developed personalized financial plans aligned with client goals, risk tolerance, and long-term objectives.
- Reviewed account activity and market changes to recommend timely portfolio adjustments.
Registered Sales Assistant
PAINE WEBBER
Morristown, New Jersey
10.1993 - 07.1994
- Collaborated with a team of top producing advisors to migrate their client base from Prudential Bache to PaineWebber, handling hundreds of account transfers and maintaining direct client interaction.
Registered Sales Assistant
PRUDENTIAL BACHE
Short Hills, New Jersey
12.1988 - 10.1993
- Prudential Bache is where I began my career in the Financial Services industry. I served as a sales assistant to 6 Financial Advisors, during which I assisted with their clients' needs from performance reports to processing 401(k) rollovers.
- While at Prudential Bache, I earned my Series 7 and 63 licenses and thereafter had the additional responsibility of placing stocks, bonds, mutual fund and options orders.
Education
Shippensburg University
Shippensburg, PASkills
- Client service expertise
- WebEx, Zoom, Teams, Live Meeting
- Microsoft Excel, Word and PowerPoint, Lotus Notes and Microsoft Outlook
- New hire training
- Public speaking
Certification
Series 7, Series 63
Timeline
Customer Trainer & Fixed Income Product Owner
PERSHING, A BNY MELLON COMPANY
11.2004 - 03.2026
Financial Advisor
RBC DAIN RAUSCHER
06.1998 - 10.2004
Financial Advisor
MORGAN STANLEY - DEAN WITTER
07.1994 - 06.1998
Registered Sales Assistant
PAINE WEBBER
10.1993 - 07.1994
Registered Sales Assistant
PRUDENTIAL BACHE
12.1988 - 10.1993
Shippensburg University