Summary
Overview
Work History
Education
Skills
Affiliations
Accomplishments
Certification
Timeline
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Supranee Lucas, CFP®, RICP®

Phoenix,AZ

Summary

Action-driven, motivated, experienced, diligent, extremely detail-oriented Financial Planner with strong initiative and genuine passion for helping clients achieve financial fitness through an ethical, objective, customized, and disciplined approach through clients' eyes.

Overview

27
27
years of professional experience
1
1
Certification

Work History

Financial Planner, Centralized Planning Group

Charles Schwab & Co
Phoenix, AZ
11.2015 - Current
  • Crafts comprehensive financial plans for clients tailored to individual needs and objectives through a thoughtful discovery process and analysis of financial data and projections.
  • Provides holistic guidance to clients on retirement income planning, investment planning, banking and credit management, education and family support, risk management and insurance planning, estate planning, and tax planning.
  • Develops action plans for clients and business partners, helps bring new assets to firm, helps drive additional solutions and retain business.

Learning Manager, Schwab Portfolio Consulting

Charles Schwab & Co
Phoenix, AZ
01.2014 - 11.2015
  • Collaborated with department heads to design effective learning strategies that support organizational goals.
  • Organized and coordinated training sessions for Portfolio Consulting employees.
  • Developed training materials, including manuals, guides and handouts.
  • Created post-training evaluation surveys to measure performance improvement.

Portfolio Consultant, Schwab Private Client

Schwab Private Client Investment Advisory
Phoenicia, AZ
05.2002 - 06.2012
  • Charter member of Charles Schwab's first fee-based relationship advice service, and one of eight portfolio consultants in Phoenix.
  • Responsible for partnering with high net worth investors to analyze, construct, monitor, and review investment portfolios on a non-discretionary basis.
  • Recommended customized banking, insurance, retirement planning, cash flow planning, college planning, and stock option analysis solutions.
  • Helped grow practice to over $300 million in assets and over 240 clients.
  • Effectively retained client relationships through several difficult business transitions.

Senior Investment Specialist, Retail Advice Team

Charles Schwab & Co
Phoenix, AZ
05.1999 - 05.2002
  • Chosen as one of eight team members in Phoenix to launch Schwab's first advice service.
  • Responsible for working referrals from internal partners and selling one-time portfolio consultations for a flat fee dependent on portfolio complexity.
  • Worked with investors to analyze and construct investment portfolios appropriate to their goals and circumstances.
  • Elected to serve as Team Manager where responsibilities included: mentoring and coaching peers with their skill development, auditing team's investment recommendations to ensure appropriateness, writing and delivering quarterly reviews, and screening, interviewing, and hiring new Investment Specialists.

Registered Customer Service Representative

Charles Schwab & Co
Phoenix, AZ
01.1998 - 05.1999
  • Chosen as team point person for quality assurance and trained peers to improve their scores.
  • Chosen for pilot program testing mutual fund advice to clients and led team in productivity.
  • Received first promotion within three months.

Education

Bachelor of Science - Finance

Arizona State University
Tempe, AZ
12-1997

Skills

  • Over 28 years professional experience
  • Expertise with investment planning, Social Security planning, Medicare planning, retirement income planning
  • Highly skilled in building rapport with, advising, and educating clients with different levels of investment experience, knowledge, and risk tolerances
  • Extremely strong reputation with Financial Consultants and Retail Branch Managers, Independent Branch Leaders and their staff, and peers
  • Fluent in Thai and Laotian languages

Affiliations

  • Part of costume team and new parent liaison at children's theatre
  • Room parent and volunteer at daughters' schools

Accomplishments

  • 25 Years of Service at Charles Schwab
  • Portfolio Consultant of the Quarter Award
  • Chairman's Club Awards
  • Key Contributor Award
  • I Am Chuck Award
  • Top Investment Consultant Award
  • Employee of the Month Awards
  • Outstanding Net New Asset Gathering Performance Award
  • Lifesaver Award
  • Unsung Hero Award
  • Phoenix National Investor Services Team of the Year Award
  • Best of The Best Award
  • Superior Productivity Award

Certification

  • CERTIFIED FINANCIAL PLANNER™
  • Retirement Income Certified Professional ®
  • Series 7, 9, 10, 63, and 66 Securities Licenses
  • Life, Health, and Variable Annuities Insurance License

Timeline

Financial Planner, Centralized Planning Group

Charles Schwab & Co
11.2015 - Current

Learning Manager, Schwab Portfolio Consulting

Charles Schwab & Co
01.2014 - 11.2015

Portfolio Consultant, Schwab Private Client

Schwab Private Client Investment Advisory
05.2002 - 06.2012

Senior Investment Specialist, Retail Advice Team

Charles Schwab & Co
05.1999 - 05.2002

Registered Customer Service Representative

Charles Schwab & Co
01.1998 - 05.1999

Bachelor of Science - Finance

Arizona State University

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Supranee Lucas, CFP®, RICP®