Rebecca Frohlich
Omaha,United States
Summary
Meticulous Certified Financial Planner™ with over 20+ years of experience in financial planning, management and client counseling. Evaluates client situation, assets, debt, risk tolerance, and goals to create comprehensive financial plans, and investment strategies. History of building long term client relationships and helping them to reach financial goals.
Overview
25
25
years of professional experience
1
1
Certification
Work History
Certified Financial Planner Registered Investment Advisor, Portfolio Manager & Compliance Officer
Fairway Asset Management
Omaha, NE
05.2015 - Current
- Manage the strategic development of financial and wealth plans for clients and prospects
- Partner with clients and prospects to analyze, research, recommend and implement solutions in their individual financial situations
- Actively manage client relationships, regarding daily maintenance, financial plan implementation and ongoing support, including quarterly and annual reviews
- Collaborate with clients’ other professionals .e, attorney’s and CPA’s and any other external sources
- Assist employers and business owners (solo to mid-sized) with employee retirement plans (401k, 403b, Cash Balance, etc.), marketing, implementation, communication, and administration of benefit plans
- Evaluate investment allocation and performance
- Research investments, provide strategic input into investment strategies and complete due diligence for client portfolios
- Implement, maintain, and monitor all trading strategies and transactions
- Manage and direct new business pipeline
- Compliance: Review and monitor all client communications to ensure firm compliance and regulations are being followed
- Complete consistent periodic review of client accounts to ensure trading is in compliance with strategies
- Create and implement all firm compliance procedures and programs to ensure the firm is in compliance with all regulatory authorities
- Supervise all firm websites, marketing, technology, and work with the vendors in each area
- Responsible for day-to-day activities related to business operations
- Activities include fee processing/collection, business bill payments, bank and budget audits, and shareholder communications.
Benefits Specialist - Retirement Plans
FNIC Trusted Insurance advisors
Omaha, NE
11.2009 - 05.2015
- Review, access, and market retirement plans for prospects.
- Evaluate plan cost and design to ensure the plan meets the client’s needs
- Handle plan implementation from start to completion including employee enrollment meetings and all plan notices
- Complete quarterly, semi-annual, and annual plan reviews
- Prepare and process all new individual investment accounts, complete quarterly investment reviews, and all maintenance requests
- Handle all investment related compliance and annual compliance audits
- Complete all marketing and prepare all marketing proposals for group employee benefits including medical, dental, ltd, std, life and vision insurance
- Complete plan implementation and annual renewals
- Be the primary contact for all clients regarding all lines of insurance coverage, for enrollments, cancellations, claims, etc.
Financial Advisor - Team Associate
Morgan Stanley
Omaha, NE
07.2005 - 11.2009
- Networking, prospecting and building new client relationships
- Provide financial and investment advice to current and prospective clients
- Analyze client and prospect current assets, investments, income, and current savings to design the portfolio allocation and make investment recommendations based on suggested allocation and future needs analysis
- Advise clients in all areas of financial need, including debt management such as mortgage and college financing, creation of budgets, and retirement projections
- Monitor team sales activity and daily operations to ensure they are consistent with regulatory and firm guidelines
- Create and maintain the team's marketing campaigns, brochures, website maintenance, create presentations, portfolio proposals, and build reports
- Create, plan, and organize team seminars for clients and prospects.
Operations Manager
Morgan Stanley
01.2001 - 01.2005
- Daily analysis and review of sales activities and operations to determine that activity is consistent with regulatory and firm guidelines and best practices
- Primary branch contact for all compliance audits and current pending cases
- Identify, investigate, and research various compliance situations and present them to the appropriate regional representative for further action
- Assist and solve client problems and complaints
- Manage daily branch activity and branch administrative staff
- Conduct reviews, process payroll and all other branch human resources tasks
- Daily monitoring of margin calls and sellouts
- Monitor and maintain branch operations, including new account processing and assisting financial advisors with questions
- Assist with account clean-up, reassignment, and maintenance of client accounts
- Process trade adjustments, errors, and balance branch error account
- Create and implement new policies and procedures as needed.
Account Support Specialist
FNBO
06.1999 - 06.2001
- Manage the daily DTCC settlement and processing of trade requests
- Balance of daily trades with the DTCC, to provide exact reconciliation for customer accounts
- Process both buy and sell requests, and investment of funds in money markets upon request
- Research and price unlisted, rarely traded securities.
Education
BS, Business Management -
University of Nebraska at Omaha
01.2001
Skills
- Certified Financial Planner
- Wealth Management Services
- Investment Strategies
- Financial Planning
- Retirement Planning
- Series 63
- Series 65
- Financial Services
- FINRA
- Asset Allocation
- Estate Planning
- Cash Flow Management
- Portfolio Management
- Investment Consulting and Planning
- Cash Management Strategies
- Investment Performance Reporting
- Critical Thinking
- Microsoft Excel
- Client Interviews
- Client Needs Assessment
- Funding Education
- Risk Assessment
- Cash Flow Projections
Certification
- Certified Financial Planner (CFP), CFP Board, 04/2023, 10/2024, 450491
- Series 63 and 65
- Insurance Agent, Accident, Health, Life, Variable Life & Variable Annuities, Nebraska Department of Insurance, 10/2022, 10/2024, 9869559
References
References available upon request.
Timeline
Certified Financial Planner Registered Investment Advisor, Portfolio Manager & Compliance Officer
Fairway Asset Management
05.2015 - Current
Benefits Specialist - Retirement Plans
FNIC Trusted Insurance advisors
11.2009 - 05.2015
Financial Advisor - Team Associate
Morgan Stanley
07.2005 - 11.2009
Operations Manager
Morgan Stanley
01.2001 - 01.2005
Account Support Specialist
FNBO
06.1999 - 06.2001
BS, Business Management -
University of Nebraska at Omaha
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