Summary
Overview
Work History
Education
Skills
Affiliations
Accomplishments
Certification
Languages
References
Timeline
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Regis Rodrigues

Regis Rodrigues

Porter,TX

Summary

Resourceful Advisor recognized for productivity and efficient task completion. Specialize in financial planning, risk management, and client relationship building. Excel in communication, problem-solving, and adaptability, ensuring seamless handling of financial portfolios and fostering lasting client trust.

Strong ability to perform Banking and Investment activities combined with high level of client attention specially designed for High Net Worth Clients. Adaptable professional with a quick-learning ability and a talent for adjusting to new environments. Skilled in rapidly acquiring new knowledge and applying it effectively. Driven by a passion for continuous learning and successfully navigating change.

Overview

17
17
years of professional experience
1
1
Certification

Work History

Financial Solutions Advisor

Merrill Lynch
New Caney, TX
03.2021 - Current
  • Explained complex concepts in an easy-to-understand manner to help educate customers about their options.
  • Ensured accuracy of all paperwork associated with transactions prior to submission for processing.
  • Assisted in resolving escalated customer complaints in a professional manner.
  • Maintained accurate records of all client interactions including notes of meetings held, documents provided and reviewed or decisions taken.
  • Advised clients on retirement planning strategy such as 401, Roth IRA, ensuring compliance with federal regulations.
  • Participated in team meetings regularly to discuss progress updates and exchange ideas.
  • Analyzed client's current financial situation and prepared detailed reports outlining potential risks and opportunities.
  • Followed-up with clients regularly
  • Researched market trends to stay up-to-date on the latest industry news and developments.
  • Prepared presentations for prospective clients highlighting various benefits of working with the firm's services or products.
  • Collaborated with internal teams, including mortgage, investment, and commercial banking, to provide holistic financial solutions.
  • Managed relationships with high-net-worth individuals in order to build trust and loyalty towards the bank's brand.
  • Completed thorough and accurate documentation for money movements, deposits or withdrawals.
  • Provided advice on various banking products, such as savings accounts, loans, investments, and credit cards.

Financial Advisor

Merrill Lynh
Kingwood, TX
02.2019 - 03.2022
  • Provided ethical, objective and holistic financial planning advice to clients. Merrill Lynch Advisor Trainee Program..
  • Utilized financial planning software to create projections, scenarios, and plans tailored to individual client needs.
  • Communicated regularly with clients via phone, email, or video conferencing regarding their financial matters.
  • Identified new business opportunities through networking and referrals.
  • Recruited new clients through proactive marketing initiatives and word-of-mouth referrals.
  • Promoted business to increase customer base and grow revenue.
  • Generated sales by prospecting leads, cold calling and negotiating advantageous deals.
  • Analyzed customer data to determine buying trends and preferences for targeted campaigns.
  • Prepared and administered a few group seminars to prospective clients.

Licensed Relationship Banker

Key Bank
Denver, CO
01.2018 - 01.2019
  • Executed wire transfers of funds in compliance with banking best practices.
  • Advised customers on bank products, services and financial planning options.

Chase Private Client Banker

JP Morgan Chase Bank NA
Broomfield, CO
02.2012 - 01.2018
  • Created presentations for prospective clients outlining the benefits of Chase Private Client Banker services.
  • Promoted financial products with targeted in-branch selling and outbound calls.
  • Developed and maintained a portfolio of high-value clients, achieving high levels of client satisfaction and retention.
  • The main focus of the role was to identify the best client referral to Wealth Management.
  • From 2012 to 2018, I worked as a Personal Banker, Licensed Banker, Private Client Banker, and, at the end of my time at Chase, I worked as a part-time Relationship Banker.

Personal Banker

Wells Fargo, NA
Glendale, CO
04.2008 - 11.2010
  • Adhered strictly to all security procedures related to handling money at the teller window.
  • Banking sales training.
  • Wells Fargo was my first financial institution job, and I worked as a teller, personal banker, and right before I left, I was hired as a teller supervisor, but I left to start my own business.

Education

Some College (No Degree) - Finance

Metropolitan State University of Denver
Denver, CO

High School Diploma -

Leme Do Prado
Brazil
01-2002

Skills

  • Customer service
  • Financial budgeting
  • Personal finance
  • Investment performance reporting
  • Proposals and presentations
  • Stock market
  • Teamwork
  • Relationship building
  • Team collaboration
  • Cash flow projections
  • Retirement needs
  • Financial analysis
  • Self motivation
  • Investment advice
  • Wealth management
  • Trust building
  • Active learning
  • Patience and tolerance
  • Training and mentoring

Affiliations

  • Full-time father figure
  • Basketball player
  • Brazilian Jiu-jitsu white belt
  • Book reader
  • Classic Rock Enthusiast
  • Church Volunteer
  • Camper, beach goer, swimming pool lover
  • Awesome Grill Master

Accomplishments

  • Top 5% Financial Solutions Advisor 2023
  • Merrill Edge Bull award winner Q3 2023
  • Brazilian steakhouse food business project Taste of Colorado 1st place
  • Top 5 Market Relationship Banker Chase 2013
  • First Year Number 1 Teller referrals Wells Fargo 2009

Certification

FINRA Series 7 And 66

AWMA Designation-College of Financial Planning
CRPC Designation-College of Financial Planning
AAMS Designation-College of Financial Planning

Languages

Portuguese
Native/ Bilingual
Spanish
Professional

References

Merrill Lynch and Bank of America Private Bank - Trent Pauls (713) 204-0898

JP Morgan - Erin Waller (720) 684-7127

Chase Bank - Jason Cooper (720) 383-5204

Wells Fargo - June Hammond (303) 641-1615

Timeline

Financial Solutions Advisor

Merrill Lynch
03.2021 - Current

Financial Advisor

Merrill Lynh
02.2019 - 03.2022

Licensed Relationship Banker

Key Bank
01.2018 - 01.2019

Chase Private Client Banker

JP Morgan Chase Bank NA
02.2012 - 01.2018

Personal Banker

Wells Fargo, NA
04.2008 - 11.2010

Some College (No Degree) - Finance

Metropolitan State University of Denver

High School Diploma -

Leme Do Prado

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Regis Rodrigues