Summary
Overview
Work History
Education
Skills
Certification
Timeline
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Robert Peetz

Jarrell,TX

Summary

Dedicated and results-oriented manager with a proven track record of leading high-performance teams to achieve exceptional results. Skilled in coaching to behaviors, metrics, customer service and risk management with a strong focus on driving strategic initiatives to retain and grow business. Adept at optimizing performance and fostering a culture of excellence in the Financial Brokerage Industry.

Overview

15
15
years of professional experience
1
1
Certification

Work History

Manager, Brokerage Services

Charles Schwab & Co
03.2019 - Current
  • Lead a team of 15 Licensed Financial Representatives to consistently exceed performance targets through effective 1:1 behavioral coaching to goals and metrics
  • Responsible for handling all client escalations and manager callbacks to ensure point-of-contact resolution
  • Responsible for team's risk- and pattern-based supervision to ensure compliance with The Firm's policies and procedures as well as Regulatory Authorities including FINRA, SEC, SIPC and FDIC
  • Manage Workforce Administrative Duties, including scheduling representative's day-to-day activities and managing time off requests to ensure service levels are met at all times
  • Managed multiple teams through site's expansion from eight to 17 teams, including overseeing the establishment of The Company's first fully virtual team during Covid
  • Currently on full-time assignment as Hiring Manager for all 17 Austin-based Licensed Financial Representative Teams, hiring more than 250 representatives into The Firm since April 2023


Private Client Trading & Operations Specialist

Fidelity Investments
05.2015 - 01.2018
  • Internal Help Desk for all regional sites giving guidance to Licensed Financial Representatives regarding trades, operational procedures, Firm policies and guidelines and regulatory matters
  • Responsible for approving trades, money movement, exceptions to policies/procedures and other matters above Representative's limits
  • Handle and resolve client escalations
  • Review daily trade logs and cashiering activity for risk and compliance purposes & resolve issues identified
  • Coach representatives to service and sales goals
  • Manage local workforce to ensure daily SLA needs are met


Licensed Private Client Group II Representative

Fidelity Investments
03.2013 - 05.2015
  • Handle inbound High Net Worth Client calls in a regional call center environment
  • Identify and position potential client needs and opportunities to grow business and increase NNA
  • Exceeded all sales and service goals and metrics every quarter, including winning site's Excellence In Action Award my last two quarters as an inbound PCG II Representative (top producer site-wide)
  • Average 92% overall client satisfaction scores


Personal Banker

Wells Fargo & Company
03.2009 - 03.2012
  • Improved customer satisfaction by providing personalized banking solutions and exceptional service.
  • Generated new business by conducting thorough financial needs assessments and offering tailored products to clients.
  • Enhanced client retention with proactive follow-ups and timely resolution of account issues.


Education

Bachelor of Arts - Public Relations

The University of Texas At Arlington
Arlington, TX
05.2009

Skills

  • Coaching and Development
  • Performance Management
  • Talent Management
  • Business/Workforce Management
  • Client Management
  • Risk & Compliance Management

Certification

  • FINRA Series 7
  • FINRA Series 63
  • FINRA Series 9/10

Timeline

Manager, Brokerage Services

Charles Schwab & Co
03.2019 - Current

Private Client Trading & Operations Specialist

Fidelity Investments
05.2015 - 01.2018

Licensed Private Client Group II Representative

Fidelity Investments
03.2013 - 05.2015

Personal Banker

Wells Fargo & Company
03.2009 - 03.2012

Bachelor of Arts - Public Relations

The University of Texas At Arlington

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Robert Peetz