Nathaniel Springs
Charlotte,NC
Summary
Dedicated financial services professional with a strong focus on client education and investment solutions. Expertise in managing brokerage accounts and retirement planning while ensuring adherence to FINRA regulations. Proven track record in building client relationships and resolving complex issues through effective problem-solving.
Overview
1
1
Certification
9
9
years of professional experience
Work History
Brokerage Consultant
TIAA
Charlotte, USA
11.2024 - Current
- Delivered comprehensive brokerage support by managing investment accounts, retirement plans, and brokerage transactions to enhance client satisfaction.
- Educated clients on investment products, mutual funds, and retirement accounts while ensuring suitability and compliance with regulations to empower informed decision-making.
- Assist clients with account maintenance, transfers, rollovers, distributions, beneficiary updates, and other brokerage service requests.
- Resolve complex client issues through effective problem-solving, collaboration, and personalized service.
- Maintain compliance with FINRA regulations, company policies, and industry standards while protecting confidential client information.
- Develop strong client relationships through professionalism, active listening, and exceptional customer service.
- Collaborated with internal partners to resolve client inquiries efficiently, ensuring timely and accurate service delivery.
Emergency Dispatch Representative
Concentrix
01.2018 - 11.2024
- Managed emergency and non-emergency dispatch calls while maintaining professionalism and accuracy in high-pressure situations.
- Demonstrated exceptional communication, multitasking, and decision-making skills while supporting individuals during emergency situations.
- Delivered high-quality customer service while maintaining calm, empathy, and a solution-oriented approach in emergency situations.
- Gathered critical information and prioritized incidents to effectively coordinate responses with emergency personnel and public safety agencies.
- Documented incidents accurately while adhering to strict company procedures and confidentiality requirements.
- Established a reputation for reliability and accountability, contributing to strong performance in fast-paced environment.
Education
Bachelor of Science (B.S.) - Interdisciplinary Studies
Elizabeth City State University
Elizabeth City, North CarolinaSkills
- Brokerage & Investment Services
- Brokerage Account Servicing
- Investment Products & Mutual Funds
- Retirement accounts
- Retirement Planning Support
- FINRA Regulatory Compliance
- Brokerage compliance
- Compliance Adherence
- Financial compliance
- Risk Assessment
- Investment Analysis
- Investment strategy
- Portfolio management
- Retirement planning
- Client Relationship Management
- Customer Relationship Management
- CRM & Financial Services Platforms
- CRM Systems
- Microsoft Office Suite
- Microsoft Office
- Attention to detail
- Time management
- Problem Solving
- Adaptability
- Team leadership
- Client education
- Relationship Management
- Financial Education
- Risk assessment
- Problem solving
- Risk assessment
- Problem solving
Certification
- FINRA Series 6 License
- FINRA Series 7 License
- FINRA Series 63 License
- North Carolina Life Insurance License
Timeline
Brokerage Consultant
TIAA
11.2024 - Current
Emergency Dispatch Representative
Concentrix
01.2018 - 11.2024
Bachelor of Science (B.S.) - Interdisciplinary Studies
Elizabeth City State University