Sherry Kim
Santa Ana,CA
Summary
Highly-accomplished and detail-oriented professional successful at attaining business goals through in-depth strategy design and sales development and execution. Securities compliance professional with broad-based experience in listed options, sales and trading, operations and compliance in broker and dealer environment.
Overview
19
19
years of professional experience
1
1
Certification
Work History
Associate Private Wealth Advisor
Trapani, Calvert & Meyer
2021.05 - Current
- Assets movements including wire, journal, ACH, periodic instructions, standing instructions, internal and external transfers, distributions for all types of Brokerage, Advisory, and 529 Plans.
- New account openings which include taxable and nontaxable Brokerage, Advisory, Third Party Plan Administrator, Annuity, and Education 529 accounts.
- Account maintenance which involve information changes for both brokerage and investment accounts, annuity, and 529 plans. These involve account title updates, beneficiary changes, step up cost basis, adding POA and more.
- Advisory account allocation changes and new investment allocation set up in ENV2.
- Mediator between Retirement Plan Administrator and our clients to help with rollover process, account transfers between Brokerage, Mutual Funds, and Transfer Agent.
- Completes year end trust accounting for our third party plan administrator types of accounts.
- Assist with 529 plan distributions including verifying trades with client and reach out to American Funds for 529 plan distributions.
- Direct Clients communications as necessary for any of the items above.
- NetX360, CRM, Docket, ENV2, CSS, NM Connect.
- Problem solver/solution provider.
Investment Services Representative
Shopoff Securities, Inc.
2018.06 - 2020.05
- Review and process all documents and spreadsheets relating to subscriptions, redemptions, and transfer processing for both investors and investments.
- Knowledge of Trust documents, qualified accounts, documents for fund investors.
- Understanding of commissions and fees relating to Fund offerings.
- Process capital calls and distributions.
- Coordinate and execute weekly Fund closings.
- Ensure that CRM is maintained with investor's information.
- Collaborate with various internal teams including Compliance and Accounting on new and ongoing Fund Management strategies to minimize risk, maximize efficiency and ensure service quality.
- Help to establish efficient workflow processes between Alternative Investments and Fund Managers/custodians.
- Responsible for Funds blue sky and process selling agreements.
- Responsible for resolving problems and discrepancies with Custodians, Transfer Agents, and Registered Reps.
- Serve as a primary point of contact for clients to handle information requests, training, account maintenance, website use to ensure client satisfaction.
Senior Registered Representative
Centaurus Financial Inc
2016.12 - 2018.04
- Process all Alternative Investment purchases in Pershing accounts.
- Handle all Preferred Apartment Communities trade processing, warrants exercise, and redemption.
- Extensive cost basis handling and research.
- Assist Advisors with all tax related questions for Pershing accounts.
- Handle incoming trading calls which included buying and selling stocks, ETF, mutual funds, bonds and UIT.
- Provide Pershing Netx360 access to all Centaurus Advisors and their employees.
- Complete monthly due diligence on execution inquiries and filing.
- Assist Advisors and their employees with Netx360 navigation and how to run reports.
- Complete daily trades review and approvals.
- Complete trades correction as necessary.
- Extensive knowledge in both trading and operations including account transfer and money movements.
- Consistently received compliments from Advisors for service of excellence.
- Process all mutual fund order forms for missing items from compliance.
Registered Representative
Muriel Siebert & Co
2016.05 - 2016.12
- Efficiently executing client stocks and options trades.
- Effectively processing corporate action items and tender offers.
- Assist clients with login, company website access, and issues.
- Successfully utilizing National Financial Services website and tools to assist with trades and clients' inquiries.
- Daily commissions adjustments for negotiated accounts.
- Process and deposit of all incoming checks.
- Assist with account openings and cash management.
- Assist Branch Manager with Branch Compliance Audit.
- Handle walk-ins and incoming phone calls.
- Act as liaison between clients and internal departments.
- Maintain friendly and professional customer interactions.
- Complete outbound calls to complete clients' follow-up.
Senior Operation Specialist
Foothill Securities
2015.03 - 2015.12
- Review and approve new accounts and accounts maintenance.
- Enter trades include stocks, mutual funds, and options.
- Investigate and resolve Advisors' inquiries and issues.
- Manage and set up advisory fees.
- Daily contacts with departments, management, team associates, and Advisors to achieve satisfactory results.
- Effective liaison between clients and internal departments.
- Assist Branch Manager with team supervisory and compliance.
- Consistently received outstanding service results with Advisors.
- Assist Branch Manager with training new team members.
OSJ/Registered Rep
Scottrade Inc.
2006.02 - 2014.10
- Experienced in setting up a completely new branch for Scottrade.
- Lead branch planning and goal settings activities.
- Educate clients and prospective clients on asset allocation and portfolio management.
- Hold weekly seminars on topics including equity, margin, options, mutual funds, and exchange-traded funds.
- Review daily trade tickets, new accounts, margin, and options.
- Promote financial products including stocks, mutual funds, and ETF.
- Promoted to Branch Manager in 2009
- Responsible for hiring, training, and quarterly employee reviews.
- Daily calls to prospective and existing clients and promoting company products and services.
- Effectively utilized CRM and Salesforce for tracking clients' interactions and sales goals.
- Exceeded quarterly sales goals by 15%.
- Received Branch Award of Excellent in November 2010.
- Received Branch Achievement Award in November 2011.
Education
Bachelor of Science - Molecular Cell Biology
University Of California, Berkeley
Berkeley, CA06.1996
Skills
- Equity markets
- Stocks, M/F, ETF, UIT and bonds knowledge
- Verbal/written communication
- Multilingual in English & Vietnamese
- Investor relations
- Meticulous attention to detail
- Cost basis understanding
- Collaboration
Certification
- Series 7, 63, 9 & 10
Timeline
Associate Private Wealth Advisor
Trapani, Calvert & Meyer
2021.05 - Current
Investment Services Representative
Shopoff Securities, Inc.
2018.06 - 2020.05
Senior Registered Representative
Centaurus Financial Inc
2016.12 - 2018.04
Registered Representative
Muriel Siebert & Co
2016.05 - 2016.12
Senior Operation Specialist
Foothill Securities
2015.03 - 2015.12
OSJ/Registered Rep
Scottrade Inc.
2006.02 - 2014.10
Bachelor of Science - Molecular Cell Biology
University Of California, Berkeley
- Series 7, 63, 9 & 10
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