Summary
Overview
Work History
Education
Skills
Certification
Timeline
Generic

Timothy Asplin

Omaha,Nebraska

Summary

Dedicated and accomplished Brokerage Operations professional with 18 years of experience in call center management, investment analysis, and retirement accounts consulting. Proven track record of optimizing operational efficiency, ensuring compliance with regulatory guidelines, and providing exceptional customer service. Seeking a challenging position to leverage expertise in brokerage operations and customer service.

Overview

19
19
years of professional experience
1
1
Certification

Work History

Operations Call Center Supervisor, AVP

BancWest Investment Services
Omaha, Nebraska
12.2018 - 11.2023
  • Supervised a team that serviced over 60,000 accounts in a call center environment.
  • Provided daily phone statistics and 30-day averages to the Principal Operations Officer.
  • Conducted regular team meetings and one-on-one sessions for direct reports.
  • Managed employee performance, including coaching, praise, discipline, and rewards.
  • Calculated and maintained procedures for quarterly bonuses.
  • Conducted interviews, facilitated onboarding, and ensured new employees had necessary tools.
  • Handled escalated calls, managing difficult clients and resolving issues to protect the firm.
  • Supervised weekly testing of TTY calling functionality.

Operations Investment Center Analyst, Officer

BancWest Investment Services
Omaha, Nebraska
02.2015 - 12.2018
  • Supervised operations personnel in daily operational and administrative services.
  • Provided assistance with normal operational duties during staff shortages.
  • Volunteered for shifts to cover time off for Investment Center associates.
  • Aligned policies and procedures with corporate goals and regulatory guidelines.
  • Evaluated workflow procedures and implemented changes for improved efficiencies.
  • Took the lead in reporting errors and testing fixes in a new processing system.

Retirement Center Specialist

BancWest Investment Services
Omaha, Nebraska
10.2012 - 02.2015
  • Answered phone calls from clients and financial advisors.
  • Assisted in training new phone representatives.
  • Placed stock, options, mutual funds, and fixed income trades for clients and advisors.
  • Processed client requests for online viewing and electronic statements.
  • Calculated normal and beneficiary required minimum distributions.
  • Served as a subject matter expert for retirement accounts in Operations.
  • Processed IRA distributions for clients.

Retirement Accounts Consultant

TD Ameritrade
Bellevue, Nebraska
04.2007 - 09.2012
  • Provided in-depth explanations of complex tax issues related to retirement accounts.
  • Identified and resolved potential problems with client accounts.
  • Ensured an outstanding client experience by taking ownership of requests and resolving issues.
  • Adapted to a changing environment by flexing into various roles as needed.
  • Led the Retirement Policy Management team in continuous policy review.

IRA Phone Representative

TD Ameritrade
Bellevue, NE
11.2004 - 04.2007
  • Responded to inbound calls from new and existing clients.
  • Educated clients on various types of retirement accounts.
  • Researched and resolved issues related to IRA accounts.

Education

Some College (No Degree) - Business

Metropolitan Community College
Omaha

Skills

  • Microsoft Office Suite (Teams, Word, Excel, Outlook, PowerPoint)
  • Cisco Unified Communications Manager
  • Stock/Mutual Fund/Options Trading
  • Market/Limit Orders
  • Retirement/IRA Accounts
  • Required Minimum Distribution Calculation
  • Wire Processing
  • ACH Processing
  • Wireless Headsets
  • External Monitors
  • Laptop, VPN, Work from Home
  • Remote Supervision of Direct Reports
  • On-Site Supervision of Direct Reports
  • Salesforce
  • NetX360
  • Appian
  • Lexis Nexis/VerID
  • Innovis
  • BosWeb
  • Refinitiv
  • Scivantage
  • Calabrio
  • Callrex

Certification

Throughout my career I have obtained the following active licenses

  • Series 7 General Securities Representative Exam (2006)
  • SIE Securities Industry Essentials Exam (grandfathered)
  • Series 63 Uniform Securities State Law Examination (2006)
  • Series 66 Uniform Combined State Law Examination (2013)
  • Series 24 General Securities Principal Qualification Exam (2015)
  • Nebraska Life & Health Insurance License (2013)
  • Chartered Retirement Planning Counselor (CRPC) (2014)
  • Chartered Retirement Plans Specialist (CRPS) (2015)

Timeline

Operations Call Center Supervisor, AVP

BancWest Investment Services
12.2018 - 11.2023

Operations Investment Center Analyst, Officer

BancWest Investment Services
02.2015 - 12.2018

Retirement Center Specialist

BancWest Investment Services
10.2012 - 02.2015

Retirement Accounts Consultant

TD Ameritrade
04.2007 - 09.2012

IRA Phone Representative

TD Ameritrade
11.2004 - 04.2007

Some College (No Degree) - Business

Metropolitan Community College

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Timothy Asplin