Sondra Lazzarini

Duties Specific to Bernard Wealth Management:

• Office Manager and Compliance Manager
• Review employee trades and emails for compliance purposes
• Maintain Compliance Data for auditing purposes
• Onboarding of asset transfer, new investment documentation and investment implementation.
• Coordinated employee and client events
• Developed comprehensive procedure manual outlining procedures and guidelines, contributing to awell-organized workplace culture.
• Oversee facility maintenance requests, coordinating with building management to address repairs or improvements efficiently.
• Office Supply Management

In addition, performed industry role duties as a Registered Associate listed below at Stifel

Duties specific to Stifel:

• Transitioned entire book of business for Sr Vice President of Investment/Global Wealth Management Advisor team at Merrill Lynch during Covid time period with minimal supervision and guidance.
• Created and maintained Excel spreadsheets of client database to transfer assets along with required documentation, product and services needs.
• Provided administrative, operational and sales support to manage book of over 350 households of clientele.
• Transitioned 2 other teams in Stifel Southfield and Grosse Pointe office.

Also performed additional duties below as a Registered associate in the investment industry:

• Maintain high level of accuracy in processing financial transactions, reducing errors and ensuring timely completion (stocks, fixed income, options, hedge funds, mutual funds, alternative investments, annuities, life insurance).
• Supported financial advisors with preparing onboarding and new account documentation.
• Provided exceptional customer service and problem resolution through clear communication, active listening, empathy and confidentiality
• Performed client follow-up regarding resolved issues to maintain high standards of customer service.
• Contributed to team success by collaborating effectively with colleagues, sharing knowledge and assisting with projects as needed.
• Ensured compliance with industry regulations, maintaining up-to-date knowledge of rules and guidelines related to client accounts as well as products and service.
• Improved productivity by creating organizational systems for files and records management
• Expedited preparation of client meetings by gathering relevant reports required new account packages
• Manage tasks efficiently during periods of high volume or tight deadlines without compromising quality or attention to detail.
• Educated clients on account services, products and online systems.
• Trained and mentored new customer service associates on best practices to meet organization goals
• Enhanced productivity levels by anticipating needs, identifying issues, improving processes and delivering outstanding support.
• Handled sensitive information with discretion, maintaining confidentiality of company documents and data through strict observance of information security procedures and corporate guidelines.
• Assisted large volume of customers daily with positive attitude and focus on customer satisfaction.
• Build long lasting relationships with clients by active listening, offering insight and being a aluable resource
• Supported marketing efforts by creating and distributing client-facing materials, including newsletters, fact sheets, and investment commentaries
• Coordinate logistics for special events such as seminars or webinars targeted at attracting new clients, providing educational opportunities and client appreciation for existing ones.
• Participated in ongoing professional development opportunities to stay abreast of industry developments compliance regulations, new rules, services, products and cyber security while continually improving skills set and maintaining industry compliance regulations.
• Maintained accurate files and databases of customer interactions, transactions and accounts ensuring consistency in service delivery.
• Ensured regulatory compliance by maintaining detailed documentation of investment decisions and transactions.
• Created and maintain precise and accurate investment models, performance and risk reports.

• Work with clients to address and respond to client and partnership management issues / Advised clients on mortgage and auto loan education while maintaining friendly and professional customer interactions
• Collaborated with branch team members to improve overall performance and achieve sales targets consistently
• Increase cross-selling success by proactively identifying client needs and suggesting appropriate financial solutions
• Expanded client base through effective networking and referral generation, leading to increased business opportunities
• Maintain up-to-date knowledge of banking products and industry trends to provide expert advice to clients effectively.
• Strengthen client relationships by providing personalized banking solutions and excellent customer service.
• Implemented innovative approaches to prospecting, resulting in expanded network of potential clients within target market segments.
• Achieved excellent customer satisfaction ratings by addressing concerns promptly and professionally, demonstrating empathy throughout interactions.

Duties specific to this role:

• Provided administrative, operational and sales support for 4 Financial Advisors for over 750 High Net Worth households.
• Transitioned advisor over from JP Morgan Chase with approximately 100 high net worth households.

In addition, performed industry role duties as a Registered Associate listed below at Stifel

Duties specific to this role:

• Transitioned entire book of business with known advisor from Smith Barney
• Provided administrative, operational and sales support to over 400 High Net Worth households.
• Completed transfers/transactions of assets three months ahead of Merrill Lynch target completion date during avery tremulous time in financial market.
• Trading of FA created portfolio's on internal platform
• Division Liaison on Managed Account Platform
• Served on branch ACTM committee to bring issues to upper management attention when necessary.

In addition, performed industry role duties as a Registered Associate listed below at Stifel

Duties Specific to this Role:

• Registered Financial Associate to top producing Financial Advisor / Assistant Branch Manager
• Assisted in growth of production from $1MM to $4MM during tenor.
• Established training manual for new hires.
• Trained new assistants for branch office.
• Managed many of Financial Advisor's personal calendar items and acted as personal assistant.
• Liaison and training associate for all regional assistants regarding Managed Account Platform
• Office Supply Management
• Trade review and sign off as Registered Associate
• Organized and participated in annual branch office e vents including: 'Bring Your Daughters & Sons To Work Day', Employee appreciation and holiday events, charity giving days, client appreciation seminars and and annual golf outing at Oakland Hills Country Club.

In addition, performed industry role duties as a Registered Associate listed below at Stifel