Tristan Cruz
Glendale,AZ
Summary
Results-oriented professional skilled in financial product knowledge and account analysis. Experienced in facilitating client account setup and providing ongoing support, ensuring compliance and improved customer relationship management to enhance satisfaction.
Overview
1
1
Certification
2
2
years of professional experience
Work History
Advanced Broker
Charles Schwab
Phoenix, Arizona
12.2025 - Current
- Prepared and presented for broker meetings on advice vs education and dividend reinvestment programs, resulting in removing knowledge gaps across our entire broker support.
- Identified 8 Business Lead Referrals YTD, bringing in Net New Assets of over $500,000.
- Engaged in weekly collaborative meetings to develop a comprehensive guide to enforce uniformity in system management, client advocacy, and ownership between all of our nightly professionals.
- Trained and mentored agents during transition to new roles through coaching and shadowing sessions.
Broker
Charles Schwab
Phoenix, Arizona
11.2024 - 12.2025
- Supported clients with trading inquiries and account management, ensuring timely and accurate assistance.
- Maintained 97% client satisfaction rate throughout my tenure as a core broker.
- Ensured compliance with regulatory standards during client transactions and communications.
- Collaborated with peers to develop and implement weekly team strategies and goals, enhancing team sentiment.
- Assisted clients in navigating online trading platforms and tools effectively via systems such as Glance and ThinkorSwim Admin.
- Stayed up-to-date on marketplace trends and researched items in detail.
Education
BBA - Finance
Northern Arizona University
Flagstaff, AZ05-2024
Skills
- Trading strategies
- Financial product knowledge
- Market analysis
- Regulatory compliance
- Account management
- Customer relationship management
- Communication proficiency
Certification
- SIE
- Series 7
- Series 66
Timeline
Advanced Broker
Charles Schwab
12.2025 - Current
Broker
Charles Schwab
11.2024 - 12.2025
BBA - Finance
Northern Arizona University