Summary
Overview
Work History
Skills
Certification
References
Timeline
Generic

Shannon Duncan

Huntersville,North Carolina

Summary

Highly-motivated employee with desire to take on new challenges. Strong worth ethic, adaptability and exceptional interpersonal skills. Adept at working effectively unsupervised and quickly mastering new skills.

Overview

31
31
years of professional experience
1
1
Certification

Work History

Senior Registered Client Associate

Raymond James Financial Services, Inc
Cornelius, NC
02.2021 - Current
  • Provide comprehensive support to Financial Advisors in daily operations of the branch office.
  • Develop and deepen relationships with new and existing clients to advance progress and improve business. Respond promptly to all customer inquiries via telephone or email in an efficient manner.
  • Onboard all new clients including processing and monitoring the transfer of assets to ensure all assets are received.
  • Execute mutual fund, equity and annuity orders on behalf of clients as directed by Financial Advisors.
  • Maintain knowledge of products, services and technology platforms in order to provide best-in-class service to clients.
  • Work both independently and within a team environment to provide support to the Financial Advisors and branch staff.
  • Participate actively in team meetings providing feedback on office procedures and/or potential solutions for current issues facing the branch office.
  • Train new hires and other service associates when needed.
  • Receive and process checks and securities when needed.

Senior Registered Client Associate

Raymond James & Associates
Huntersville, NC
01.2012 - 02.2021
  • Assisted Financial Advisors with providing efficient, high quality administrative and operational support with prospective and existing high-net-worth clients.
  • Primary point of contact for clients with questions related to account information. Interacted daily on the phone and in person with prospective and existing clients.
  • Onboard all new clients including processing and monitoring the transfer of assets to ensure all assets were received.
  • Executed mutual fund, equity and annuity orders on behalf of clients as directed by Financial Advisors.
  • Assisted Financial Advisors with marketing efforts including seminars and other client-facing events.
  • Received and processed checks and securities.
  • Worked both independently and within a team environment to provide support to the Financial Advisors and branch office.
  • Actively engaged in available training and educational and/or professional development opportunities to remain current on firm and industry policies and procedures.
  • Prepared compliance audit material as well as met with the branch auditor to ensure proper procedures and guidelines were in place.
  • Maintained and updated compliance files and assisted with implementing new compliance regulations.

Registered Sales Associate

Morgan Stanley Smith Barney
Charlotte, NC
07.2007 - 05.2010
  • Provided comprehensive support to Financial Advisors in daily operations of the branch office.
  • Assisted clients with account inquiries, transfers, technology questions, death claims, contributions, distributions rollovers, etc.
  • Executed trades on behalf of clients as directed by Financial Advisors.
  • Conducted new account opening procedures and maintained existing accounts according to company policies and regulations.
  • Responded promptly to all customer inquiries via telephone or email in an efficient manner.
  • Developed and deepened relationships with new and existing clients to advance progress and improve business.
  • Cross trained on all areas of the branch office, including check deposit, check printing, and compliance policies and procedures.

Client Service Associate

Legg Mason Wood Walker
Charlotte, NC
01.1995 - 07.2007
  • Processed new accounts quickly and efficiently while ensuring compliance with regulations.
  • Collaborated with other departments to ensure client satisfaction.
  • Maintained accurate records of all client transactions and communications.
  • Assisted clients in understanding their account information.
  • Provided superior customer service by responding promptly to client inquiries and requests.
  • Followed up with clients regarding open items or outstanding paperwork required for completion of transactions.

Receptionist

Legg Mason Wood Walker
Charlotte, NC
08.1993 - 01.1995
  • Answered incoming calls, took messages, and transferred calls to appropriate departments or personnel.
  • Scheduled appointments for clients, customers, and other visitors.
  • Greeted visitors and provided them with assistance.
  • Managed all incoming mail distribution, courier services, faxes, and copying documents as requested.

Skills

  • Attention to Detail
  • Time Management
  • Problem Solving
  • Oral and Written Communication

Certification

Series 7, Series 63, Notary Public

References

References available upon request.

Timeline

Senior Registered Client Associate

Raymond James Financial Services, Inc
02.2021 - Current

Senior Registered Client Associate

Raymond James & Associates
01.2012 - 02.2021

Registered Sales Associate

Morgan Stanley Smith Barney
07.2007 - 05.2010

Client Service Associate

Legg Mason Wood Walker
01.1995 - 07.2007

Receptionist

Legg Mason Wood Walker
08.1993 - 01.1995

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