NHAT BUI
Tukwila,WA
Summary
Financial planning and client service professional with 10 years experience across retirement income planning, asset allocation, education funding, and wealth transfer strategies. Supports ongoing portfolio reviews, customized financial plans, and compliance with SEC, FINRA, and firm requirements while maintaining strong client relationships and consistent service quality.
Overview
1
1
Certification
11
11
years of professional experience
Work History
Associate Financial Planner
Mainspring Wealth Advisors, LLC | Raymond James
Tukwila, WA
08.2022 - Current
- Generated over $6.7 million in new Assets Under Management (AUM) through client acquisition, referrals, and business development efforts.
- Collaborated with financial advisors to deliver tailored financial planning services for individuals, families, and business owners, enhancing client satisfaction and financial outcomes.
- Analyze retirement, investment, estate, tax, and risk management planning needs to develop customized financial strategies.
- Prepared comprehensive financial plans and client presentations, simplifying complex concepts into clear, actionable recommendations to facilitate informed decision-making.
- Conducted ongoing portfolio reviews, ensuring alignment of strategies with client objectives and adapting to changing market conditions to optimize client investment performance.
- Research retirement plan options, insurance solutions, and estate planning strategies to support client decision-making.
- Assist with retirement income planning, asset allocation, education funding, and wealth transfer planning.
- Maintain compliance with SEC, FINRA, and firm regulatory requirements while delivering exceptional client service.
Client Service Associate
Addison Avenue Investment Services | First Tech Federal Credit Union
Bellevue, WA
11.2019 - 07.2022
- Assisted clients with investment accounts, retirement plans, and financial planning services.
- Scheduled appointments and managed relationships with existing and prospective clients to enhance satisfaction and retention.
- Utilized CRM system to maintain accurate client records, ensuring compliance with FINRA, OSJ, and insurance regulations while improving data integrity.
- Supported client engagement initiatives, coordinating educational seminars and appreciation events to strengthen client relationships.
- Processed trades, withdrawals, account maintenance requests, and prepared review presentations.
Financial Wellness Consultant
KeyBank
Bellevue, WA
10.2016 - 11.2019
- Conducted financial wellness reviews assessing banking, lending, investments, and insurance needs to inform tailored client strategies.
- Developed partnerships with financial advisors, mortgage advisors, business banking partners, and operations leaders to enhance client relationships.
- Managed a profitable book of business while consistently exceeding performance goals.
- Maintained comprehensive knowledge of banking, investment, and wealth management solutions to provide informed client recommendations.
- Achieved 185% of Small Business revenue goals and 112% of Investment and Insurance goals.
Associate Financial Advisor
S. R. Schill & Associates
Mercer Island, WA
11.2015 - 10.2016
- Guided clients through retirement, estate, cash-flow, tax, Social Security, and wealth transfer strategies to align financial goals with life objectives.
- Employed financial planning software to create detailed models and recommend tailored asset allocation strategies based on client profiles.
- Prepared portfolio analyses, researched investments, and delivered fund recommendations.
- Partnered with advisors to enhance client service quality and ensure proactive communication throughout the financial planning process.
- Developed and maintained professional relationships with CPAs, attorneys, and banking professionals to support client needs.
Education
Certificate - Personal Financial Planning
University of California, Berkeley Extension
03-2027
Bachelor of Arts - Business Administration
University of Washington
01-2013
Skills
- Financial planning
- Retirement planning
- Portfolio analysis
- Asset allocation
- Financial modeling
- Client relationship management
Certification
- FINRA Licenses (Active): Series 6, 7, 63, 66
Timeline
Associate Financial Planner
Mainspring Wealth Advisors, LLC | Raymond James
08.2022 - Current
Client Service Associate
Addison Avenue Investment Services | First Tech Federal Credit Union
11.2019 - 07.2022
Financial Wellness Consultant
KeyBank
10.2016 - 11.2019
Associate Financial Advisor
S. R. Schill & Associates
11.2015 - 10.2016
Certificate - Personal Financial Planning
University of California, Berkeley Extension
Bachelor of Arts - Business Administration
University of Washington