Shannon Rowan
Huntington Beach,CA
Summary
Dynamic and innovative registered client associate with 15 years of experience in client service and successful performance in business unit start-up, expansion, and financial management of various operations. Forward-thinking problem-solver with tactical foresight and a proven track record of identifying and capitalizing on growth opportunities, as well as optimizing organizational efficiency, productivity, and profitability. Accustomed to working under fast-paced, high-volume, time-sensitive conditions. Strong interpersonal skills that allow effective interaction with all levels of support staff, management, and clientele. Consistently diligent with attention to detail, ensuring optimal end results.
Overview
14
14
years of professional experience
1
1
Certification
Work History
Registered Client Service Associate
Wells Fargo Advisors, LLC
05.2022 - Current
- Achieved FINRA Series 7 and Series 66 licensure
- Assists in developing customized investment strategies for clients, participating in research and analysis activities.
- Prioritizes ongoing professional development opportunities such as workshops or conferences to stay abreast of industry developments while continually improving skills set.
- Delivers exceptional customer service to every customer by leveraging extensive knowledge of products and services and creating welcoming, positive experiences.
- Increases efficiency and team productivity by promoting operational best practices.
Client Service Associate
Arise Private Wealth
06.2021 - 05.2022
- Assisted in the retention of high-value clients through proactive communication and exceptional service delivery.
- Ensured timely processing of transactions, reducing errors and improving overall client satisfaction levels.
- Provided critical support during Firm start-up, aiding in the successful transition of $450mm in AUM
- Actively participated in team meetings and initiatives focused on continuous improvement across various areas of the business.
Client Service Associate
Wells Fargo Advisors, LLC
09.2020 - 06.2021
- Performed tasks related to new accounts, sending regulatory communication, and executed client requests
- Provided assistance with client meetings from scheduling and calendaring to meeting preparation and next steps
- Frequent follow up and communication to clients to maintain accurate financial portfolios
- Successful completion of the Securities Industries Essentials (SIE) exam
Development Coordinator
California State University, Fullerton
05.2019 - 09.2020
- Conducted prospect research to identify potential new donors, expanding the organization''s funding sources and opportunities.
- Displayed consistent and thoughtful communication with donors and prospects
- Lead efforts to prepare funding proposals for individual projects
- Coordinated and oversaw Dean’s Advisory Board meetings
- Processed contributions and sent out acknowledgments.
Accounts Payable Specialist
Howard CDM
04.2018 - 05.2019
- Directed and supervised the accounts payables for over 50 sub-contractors working across more than 15 ongoing construction projects
- Developed and maintained long-standing relationships with sub-contractors and suppliers by providing timely and accurate communication regarding customer accounts, while professionally managing expectations
- Partnered with project coordinators and project managers to develop and achieve project deadlines
- Strengthened overall reporting and analysis capabilities including quality and timeliness of reports
Compliance/Cash Management Manager
Allied Professionals Insurance Services
04.2016 - 04.2018
- Complied with quarterly and annual tax regulations of 50 states and 3 territories
- Delivered maximum support and assistance to Chief Financial Officer
- Implemented robust reconciliation processes between bank statements and accounting records, reducing discrepancies significantly over time.
- Evaluated potential banking partners based on their service offerings and negotiated favorable agreements for the company''s benefit.
- Improved risk mitigation strategies through continuous monitoring of cash transactions, identifying suspicious activities, and escalating concerns promptly.
Accounting Assistant
Allied Professionals Services
09.2014 - 04.2016
- Envisioned and implemented procedures that streamlined processes and improved efficiencies
- Drafted, assembled and compiled monthly meeting agendas
- Processed client payments and maintained account receivables balance
- Provided quarterly updates to Chief Financial Officer for annual reinsurance retreats
- Maintained strict confidentiality of sensitive financial data, protecting company integrity and privacy rights of individuals involved.
Receptionist / Customer Service Representative
Allied Professionals Insurance Services
06.2010 - 09.2014
- Identified the needs of the customer and provided appropriate solutions ensuring repeat/continuing business
- Consistently increased productivity, reduced costs, and streamlined operations
- Updated employee handbook, office policies and personnel files
- Professionally handled and triaged a 12-line phone system
- Managed large daily incoming mail volumes and oversaw data input and management of client records
Education
MBA - Finance
California State University - Fullerton
Fullerton, CA08.2021
Bachelor of Arts - Criminal Justice
California State University - Fullerton
Fullerton, CASkills
Time Management
Empathy and patience
Team Collaboration
Organizational proficiency
Goal-oriented mindset
Data Entry
Networking and relationship building
Regulatory Compliance Awareness
Payment Processing
Telephone Etiquette
Meeting Scheduling
New Business Development
CRM software proficiency
Certification
- Series 7 FINRA 2023, March
- Series 66 FINRA 2023, June
Timeline
Registered Client Service Associate
Wells Fargo Advisors, LLC
05.2022 - Current
Client Service Associate
Arise Private Wealth
06.2021 - 05.2022
Client Service Associate
Wells Fargo Advisors, LLC
09.2020 - 06.2021
Development Coordinator
California State University, Fullerton
05.2019 - 09.2020
Accounts Payable Specialist
Howard CDM
04.2018 - 05.2019
Compliance/Cash Management Manager
Allied Professionals Insurance Services
04.2016 - 04.2018
Accounting Assistant
Allied Professionals Services
09.2014 - 04.2016
Receptionist / Customer Service Representative
Allied Professionals Insurance Services
06.2010 - 09.2014
MBA - Finance
California State University - Fullerton
Bachelor of Arts - Criminal Justice
California State University - Fullerton
- Series 7 FINRA 2023, March
- Series 66 FINRA 2023, June
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