Nicola Teresa Nugent
Boynton Beach,FL
Summary
Knowledgeable and dedicated customer service professional with extensive experience in the financial industry with over 25 years of experience. Solid team player with outgoing, positive demeanor and proven skills in establishing rapport with clients. Motivated to maintain customer satisfaction and contribute to company success. Specialize in quality, speed and process optimization. Articulate, energetic and results-oriented with exemplary passion for developing relationships, cultivating partnerships and growing businesses.
Overview
25
25
years of professional experience
1
1
Certification
Work History
Senior Registered Client Service Associate
American Investment Planners, LLC
02.2009 - Current
- Prepare and process investment account applications, account transfers, cashiering requests, trade support, and various life insurance applications utilizing multiple platforms, including LPL Financial, Pershing, and Schwab
- Developed customized investment strategies aligned with client financial goals and risk tolerance.
- Coordinate communication between clients and financial advisors to ensure accurate information flow.
- Manage complex client inquiries, resolving issues promptly to maintain strong client relationships.
- Conduct comprehensive research on investment products to support financial advisors in making sound recommendations for clients'' portfolios.
- Provide exceptional customer service by responding quickly to requests, maintaining a professional demeanor at all times, and delivering accurate information consistently.
Registered Financial Assistant
Rockwell Securities
09.2008 - 03.2009
- Assisted in the opening of new accounts, customer service and trading support
- Provided exceptional client support, addressing inquiries and resolving issues promptly
- Supported clients'' needs by providing timely responses to inquiries regarding account status or transactions processed.
Registered Client Service Associate
Westrock Advisors
06.2006 - 06.2008
- Facilitated client onboarding processes, ensuring smooth transitions and compliance with regulatory requirements.
- Provided expert support in resolving client inquiries, enhancing overall satisfaction and loyalty.
- Managed account maintenance tasks, ensuring accuracy in documentation and timely updates.
- Collaborated with financial advisors to develop tailored investment strategies for diverse client portfolios.
Registered Client Service Associate
CFM Advisors
03.2002 - 04.2006
- Supported financial advisors with preparing documentation, contributing to the successful onboarding of new clients.
- Maintained a high level of accuracy in processing financial transactions, reducing errors and ensuring timely completion.
- Provided exceptional customer service through clear communication and active listening, resolving issues quickly and professionally.
Bond Desk Assistant
David Lerner Associates
11.2000 - 04.2001
- Provided administrative support to enhance office operations and improve efficiency.
- Answered incoming phone calls to process requests, transfer calls, or relay messages to appropriate personnel.
- Provided exceptional customer service, addressing inquiries promptly and professionally.
Education
BBA - Accounting
Hofstra University
Hempstead, NY06.2012
Skills
Redtail proficiency
Certification
Series 7, Notary Public
Timeline
Senior Registered Client Service Associate
American Investment Planners, LLC
02.2009 - Current
Registered Financial Assistant
Rockwell Securities
09.2008 - 03.2009
Registered Client Service Associate
Westrock Advisors
06.2006 - 06.2008
Registered Client Service Associate
CFM Advisors
03.2002 - 04.2006
Bond Desk Assistant
David Lerner Associates
11.2000 - 04.2001
BBA - Accounting
Hofstra University