Spencer K. Johnston
Wealth Advisor
Rancho Santa Margarita,CA
Summary
As a husband, father, salesman, and financial professional, I have always sought to maximize every opportunity that comes my way. My clients know I treat their assets as my own, employing care, strategic analysis, and fiduciary resolve. After spending 30 successful years as a sales and marketing executive in the corporate B2B event space, the 2020 pandemic provided me the opportunity to make a massive career change. This has uncovered a passion for wealth planning, financial literacy, and has ultimately turned out for the best. My below experience describes my career post-pandemic first and then pre-pandemic.
Overview
5
5
years of professional experience
1990
1990
years of post-secondary education
Work History
Associate Wealth Advisor
Applied Financial Planning
03.2022 - Current
- I work very closely with the two largest Sr. Wealth Advisors to support them on all levels to ensure new client growth, client retention and keeping all the balls moving forward.
- In their absence, I cover their operational, trading, client service, FinTech, and now mid-level HR duties.
- Duties include, but not limited to:
- Paraplanning
- Stock and portfolio analysis and recommendations
- Investment committee member
- High-touch client service and retention
- Significant achievements:
- Evaluated, redesigned, restructured, and implemented the following initiatives firmwide:
- AFP Proven Process
- “IRM” prep – deeply covering our 5 pillars of wealth management planning (retirement, portfolio design, protection, taxes, and estate)
- Lead to client process
- Pipeline management
- Onboarding and 10-30-90 day check-ins
- Financial Foundations track for accumulators and non-qualified prospects
- Promoted to Chief Integrator firmwide
- Assist with recruiting and marketing initiatives for new employees and M&A opportunities
Financial Associate
Thrivent Financial
02.2021 - 03.2022
- Joined the New FP Career Development program, achieved all required metrics, and became a producing FP building my book from scratch
- Passed my Series 6, 7, and 63 exams/licenses
- Passed my CA Insurance Agent exams/licenses (Accident, Health, Life, Variable Life, and Variable Annuities)
Financial Planning Consultant
Ameriprise Financial Services, LLC
07.2020 - 11.2020
- Joined the Advisor Career Development program
- Completed my Series 66
- Attend client meetings and manage follow-up activities
- Manage lead to client process and monitor pipeline
- “IRM” prep - producing all documents and reports for client meetings
- Firmwide Proven Process training
Education
B.S. - Business Marketing
BIOLA University
Skills
Salesforce
Roles Post Pandemic
2020-2024, Relationship Manager, Sr. Wealth Advisor’s Right-Hand, Client Service Leader, Pipeline & Onboarding Manager, Proven Process Director, Paraplanner & Portfolio Analyst, Insurance Producer, FinTech Manager & Integrator, Master Ball Juggler and Knife Catcher, Chief Integrator
Licenses And Designations
- CRPC, Chartered Retirement Planning Counselor
- Series 7 – General Securities Representative
- Series 66 – Investment Advisory Representative
- Series 6 – Investment Co. & Variable Contracts Products
- Series 63 – Uniform Securities Agent State Law
- SIE – Securities Industry Essentials Examination
- CA Insurance Agent # 4101155
- CRD# 7271101
Experience Post Pandemic
Applied Financial Planning, Associate Wealth Advisor, 03/01/22, Present, Work closely with the two largest Sr. Wealth Advisors to support them on all levels to ensure new client growth, client retention and keeping all the balls moving forward., Cover operational, trading, client service, FinTech, and mid-level HR duties in their absence., Paraplanning, stock and portfolio analysis and recommendations, investment committee member, high-touch client service and retention., Evaluated, redesigned, restructured, and implemented the following initiatives firmwide: AFP Proven Process, 'IRM' prep, lead to client process, pipeline management, onboarding and 10-30-90 day check-ins, financial foundations track for accumulators and non-qualified prospects., Promoted to Chief Integrator firmwide., Assist with recruiting and marketing initiatives for new employees and M&A opportunities.
Roles Pre Pandemic
1990-2020, Global Account Executive, Regional Sales Manager, New Business Development Specialist, Client Retention Leader, Business Diversification Strategist, Project Manager, Experiential Marketing Leader
Experience Summary Pre Pandemic
During my 30 years of global sales, client services, and project management experience, I have weathered numerous catastrophic events, including three recessions, Y2K, the rise and burst of the tech bubble, 9/11, three major wars, the 2008 financial collapse, and more. Through these experiences, I have learned how to build, rebuild, and sometimes eat humble pie, all with the same mindset. I have come to understand that success demands more than hard work and luck. It necessitates determination, grit, and the ability to develop, monitor, and stick to a plan. I have also realized that change is the only constant, which has enabled me to pivot quickly and maintain a fluid mindset.
Fintech Experience
- EMoney
- Money Guide Pro
- Advisys
- Holistiplan
- Y Charts
- Morningstar
- Orion
Experience Pre Pandemic
- GES, Global Experience Specialist – Global Account Executive, 05/01/19, 07/01/20, 1.3 yrs
- EWI Worldwide, Vice President, Global Client Services, 02/01/04, 03/01/19, 15 yrs, 2004-2010: Rebuilt book of business from scratch., 2011: Promoted to Regional Sales Manager while continuing to grow existing business. Responsible for 3 AE direct reports and assisted with managing 4 account managers., 2012: Launched Portable Division with 3 direct reports and implemented on-line fulfillment ordering., 2013: First AE at company to export and implement US digital experience at both a trade show and exclusive private event in Monte Carlo., 2014: Pioneered new market into university museums with successful installs at UCLA, UCI and UCR. Also won back-to-back first place preferred supplier award with Fujitsu., 2015: Designed, streamlined and formalized the onboarding process for new clients. Also created and implemented a blueprint planning system for executing each project., 2016: Exceeded forecast by 45% and gross profit by 6%., 2017: Invented and implemented 'Magic Middle'., 2018-2019: Exceeded revenue forecast by 62% and gross profit by 4%.
- Exhibit Dynamics, Sr. Account Executive, 02/01/03, 01/01/04, 1 yr
- GES, Global Experience Specialist – Sr. Account Executive, 01/01/01, 01/01/02, 1 yr
- GFB/Folio, Account Executive, 10/01/94, 12/01/00, 7 yrs
- Exhibitree, Inc., Account Executive, 06/01/90, 09/01/94, 4 yrs
Timeline
Associate Wealth Advisor
Applied Financial Planning
03.2022 - Current
Financial Associate
Thrivent Financial
02.2021 - 03.2022
Financial Planning Consultant
Ameriprise Financial Services, LLC
07.2020 - 11.2020
B.S. - Business Marketing
BIOLA University
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