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Your Name

Financial Advisor / Insurance Agent

Parker, CO

your.email@example.com
111-222-3333
www.your-website.com

Summary

To transition from working as an independent Financial Advisor over to the institutional side of the business through serving as a Customer Service Representative for ATEL Capital Group (Denver) through providing strong leadership and support using my diverse background and management experience gained in the public and private sectors.

Work Experience

Financial Advisor / Insurance Agent - Vice President

FINRA SERIES, Elizabeth, CO

Aug 2011Current

Elizabeth, CO
Financial Advisor / Insurance Agent - Vice President August 2011- Current

As the Vice President and founding partner I am responsible for the day-to-day operations of BFCP, an independent financial wealth management practice which clears through Pershing and Cambridge Investment Research is the supervising Broker Dealer. Additionally, I am a licensed property and casualty insurance agent affiliated with ACV Insurance, which is part of InsureZone Direct of Texas
  • Primary job is to build strong relations by listening to clients' needs and delivering superb service and providing effective solutions specific to each client's needs
  • Interview clients to determine their current income, expenses, insurance coverage, tax status, financial objectives, risk tolerance, and other information needed to develop a financial plan
  • Advise clients on financial plans utilizing knowledge of tax and investment strategies, securities, insurance, pension plans, and real estate
  • Duties include assessing clients' assets, liabilities, cash flow, insurance coverage, tax status, and financial objectives to establish investment strategies
  • Build and maintain client bases, keeping current client plans up-to-date and recruiting new clients on an ongoing basis
  • Contact clients periodically to determine if there have been changes in their financial status.
  • Guide clients in the gathering of information such as bank account records, income tax returns, life and disability insurance records, pension plan information, and wills
  • Devise debt liquidation plans that include payoff priorities and timelines
  • Implement financial planning recommendations and refer clients to other professional as needed for specific help with tax or legal advice as part of the plan implementation
  • Monitor financial market trends to ensure that plans are effective, and to identify any necessary updates
  • Prepare and interpret for client's information such as investment performance reports, financial document summaries, and income projections
  • Recommend strategies clients can use to achieve their financial goals and objectives, including specific recommendations in such areas as cash management, insurance coverage, and investment planning.
  • Perform due diligence through research, meeting with wholesalers and investigating available investment opportunities to determine whether they meet the needs of our clients and practice
  • Analyze financial information obtained from clients to determine strategies for meeting clients' financial objectives
  • Work to help educate clients by taking complex strategies and putting them into simple easy to understand explanations
  • Review clients' accounts and plans regularly to determine whether life changes, economic changes, or financial performance indicate a need for plan reassessment
  • Sell financial products such as stocks, bonds, mutual funds, and insurance as licensed to do so Occasionally, coordinate seminars and workshops on financial planning topics such as retirement planning, estate planning, and the evaluation of severance packages
  • Meet with clients' other advisors, including attorneys, accountants, trust officers, and investment bankers, to fully understand clients' financial goals and circumstances

Financial Advisor / Client Relations Manager

LPL Financial / ACV Insurance, Elizabeth, CO

Aug 2009Aug 2011

Primary duties included helping my Branch Manager maintain his book of clients as well as developing my own client base.
  • Primary job is to build strong relations by listening to clients' needs and delivering superb service and providing effective solutions specific to each client's needs. We are a full service financial planning firm, offering exceptional advice and services including comprehensive estate and financial planning, money management, tax planning and insurance
  • Acquire and maintain a client base by developing and implementing marketing plans and coordinating events, establishing a dependable presence in the local community, leveraging personal and social networks, providing outstanding client service, and asking for referrals
  • Develop rapport and trust with prospective clients to enable sharing of information; assist them in making informed decisions during times of competing emotions by always ensuring recommendations do right by the client first and foremost.
  • Monitor key metrics to meet goals in both clients' portfolios and my own practice. Keep informed of financial planning concepts, investment products and market developments and effectively apply knowledge to client situations.
  • Maintain a keen eye for the details with exceptional organizational skills
  • Manage a variety of general office activities and play a critical role interfacing with clients
  • Ensure clients have a wonderful service experience by implementing the Platinum Experience
  • Maximize office productivity through proficient use of our CRM system and Microsoft Office and process new accounts, account transfers, beneficiary changes, new contributions and redemptions and other miscellaneous account transactions Interact and correspond with clients and advisors on documentation and service requests
  • Monitor status of transfers, proofread and send updated meeting letters and recaps
  • Prepare and print calendars, schedule and confirm appointments and phone calls
  • Handle miscellaneous operational activities, ordering and maintaining in-house regulatory material, office supplies, etc

Financial Advisor

AXA Advisors, LLC, Denver, CO

Mar 2008Aug 2009

I entered the Financial Services industry as a Financial Advisor and insurance agent with AXA Adviosrs in the Denver Branch and cleared through LPL Financial. Basic responsibilities included: Making outside sales calls Prospecting and networking via face-to-face meetings with potential clients
  • Closing and executing sales transactions Servicing existing clients Analyzing and compiling presentations
  • Attending training sessions and meetings Pursuing personal and professional development via individual study and continuing-education courses

Assistant Facility Manager

South Suburban Parks and Recreation District, Lone Tree, CO

Aug 2004Mar 2008

Primary role includes assisting the Recreation Manager in all areas of facility operations and supervision. Responsible for the day-to-day operations of the Lone Tree Recreation Center Front Desk and Nursery Staff. Other duties include regular Manager on Duty (MOD) shifts of supervising the recreation center staff and operations on designated shifts as well as assisting with various special events.
  • Responsible for performing daily cash reports and bank deposits
  • Coordinate, schedule, and monitor facilities rentals and room requests.
  • Implement risk management policies and procedures
  • Achieve alternative revenue sources through grants and sponsorships for LTRC Special Events
  • Prepare and disseminate education and informational materials to front desk and nursery staff
  • Hire, train, and conduct oral and written performance evaluations, work allocations and problem resolution for front desk and nursery staff.
  • Implement staff meetings and training sessions with written, visual, and oral information
  • Maintain inventories of materials and equipment, identify inventory requirements and make purchases for the Pro Shop and administration staff
  • Adjudicate participant or employee disciplinary problems
  • Collect and analyze data, prepare evaluations for reports

Aquatic Facility Coordinator

South Suburban Parks and Recreation District , Lone Tree, CO

Mar 2004Aug 2004

Responsible for the day-to-day operations of the Aquatic Department as well as hire, train, and manage an aquatic staff of 50. Other responsibilities include: submission of aquatic facility reports, oversee aquatic program development, swim lessons, risk management, monitoring the chemical levels for both the 114,000 gallon Leisure Pool and 4,500 gallon whirlpool. Other duties include regular Manager on Duty (MOD) shifts of supervising the recreation center staff and operations on designated shifts as well as assisting with various special events.
  • Lone Tree Recreation Center Aquatics program staff consists of one full-time coordinator, two part-time Aquatic Facility Assistants, 50 part-time lifeguards, 10 learn to swim instructors, 10 private swim instructors
  • Plan, Develop, and implement all facets of the recreational aquatics program
  • Coordinate, schedule, and monitor the operation and maintenance of aquatic facilities
  • Implement risk management policies and procedures
  • Prepare and disseminate education and informational materials to aquatic staff Hire, train, and conduct oral and written performance evaluations, work allocations and problem resolution for aquatic staff.
  • Implement aquatic staff meetings and training sessions with written, visual, and oral information
  • Maintain inventories of materials and equipment, identify inventory requirements and make purchases
  • Responsible for developing and managing an annual $387,000 Aquatic Department Budget
  • Adjudicate participant or employee disciplinary problems
  • Collect and analyze data, prepare evaluations for quarterly reports

Recreation Coordinator - Aquatics

Brighton Recreation Center, Brighton, CO

Jul 2000Mar 2004

Manager on Duty

Aquatic Department,

May 2002May 2002

as well as hire, train, and manage an aquatic staff of 50. Other responsibilities include: submission of aquatic facility quarterly reports, oversee aquatic program development, swim lessons, risk management, monitoring the chemical levels for the 140,000 gallon Lap Pool, 40,000 gallon Leisure Pool and 240,000 gallon out door pool. In May 2002, I was successful at obtaining a $5000 grant from the Platte Valley Medical Center Community Health Investment Program. This grant was used to purchase an Automated External Defibrillator for both the Brighton Recreation Center and Senior Center. I facilitated AED training for the Recreation and Senior Center staff. Other duties included regular Manager on Duty (MOD) shifts of supervising the recreation center staff and operations on designated shifts as well as assisting with various special events.
  • Brighton Recreation Center Aquatics program staff consists of one full-time coordinator, one full-time Pool Manager, 50 part-time lifeguards, 10 learn to swim instructors, 10 private swim instructors
  • Plan, Develop, and implement all facets of the recreational aquatics program
  • Coordinate, schedule, and monitor the operation and maintenance of aquatic facilities
  • On-site supervisor for all Aquatic Programs
  • Implement risk management policies and procedures
  • Prepare and disseminate education and informational materials to aquatic staff
  • Hire, train, and conduct oral and written performance evaluations, work allocations and problem resolution for aquatic staff.
  • Implement aquatic staff meetings and training sessions with written, visual, and oral information
  • Maintain inventories of materials and equipment, identify inventory requirements and make purchases
  • Responsible for developing and managing an annual $300,000 Aquatic Department Budget
  • Adjudicate participant or employee disciplinary problems
  • Collect and analyze data, prepare evaluations for quarterly reports

Resident Scholar

Sigma Phi Epsilon Fraternity,

May 1999May 2000

Assisted the undergraduate chapter in many areas of operations through leadership and direction. Helped facilitate academic quality control with establishing guidelines, standards, and goals such as performing above the all-campus grade point average. My biggest impact as the Resident Scholar came through close interaction and mentoring for all members, encouraging involvement in campus organizations and various philanthropies while helping the chapter make decisions that are consistent with the fraternity's values.

Graduate Assistant

The University of New Mexico, Albuquerque, NM

Aug 1998May 2000

Assisted the Aquatics Director with day-to-day operations, as well as hire, train, and manage a lifeguard staff of 28. Other responsibilities include: submission of aquatic facility monthly reports, aquatic program development, swim lessons, risk management, weekend supervision of recreational facility and gym attendant staff, monitoring the chemical levels for both the Olympic Pool, Johnson Pool and Therapy Pool. Assisted in Recreational Services special events including the Annual Turkey Trot, intramural sport tournaments, and the Duathlon. 
Southern Illinois University: Carbondale, IL

Graduate Coordinator of UNM NASA Summer Program

Sigma Phi Epsilon Fraternity,

Jun 1999Aug 1999

Program participants attended regular training and performed research for the University. I provided supervision on a live-in capacity along with coordinating recreational programs and activities for 20 male and female high school students throughout the eight-week program duration. Other responsibilities included supervising two undergraduate assistants as well as being a temporary emergency guardian for the program participants. This program was sponsored by NASA and SHARP and serves as an outreach program for underrepresented minorities in the field of math and science.

Skills and Attributes
  • Excellent interpersonal and communication skills
  • Curiosity to gather information and solve problems
  • Good analytical and organizational skills
  • Unquestionable integrity
  • Ability to build trust and credibility
  • Ability to manage stress, setbacks, and multiple priorities
  • Self-management, including empathy, tolerance, and composure
  • Strong desire to help and service clients and my community

Computer Skills
Experienced with both Windows & Macintosh Operating Systems: Word, Excel, Power Point and Publisher. Also proficient with Customer Relationship Management Software.

Program Supervisor & Fitness Instructor

Physical Education Department,

Jun 1997Aug 1998

Disabled Student Recreation (DSR), SIUC. Assess, plan and instruct individuals with a wide range of both physical and mental disabilities in various activities including exercise, aquatics, and bowling.

Youth Programs Counselor

Physical Education Department,

Jun 1997Aug 1998

Youth Recreation Summer Program and Family Programming, SIUC. Developed and implemented a variety of sport activities and related learning experiences for children.

Equipment Manager

Physical Education Department,

Aug 1995Aug 1998

SIUC. Assist faculty and staff with audio/visual, athletic, and outdoors-recreational equipment inventory, scheduling, distribution, and maintenance. Provided support for instructors and set up for class activities at the playing fields, gymnasium, and pool facility.

Education

Master of Science in Physical Education, Specialization

University of New Mexico, Albuquerque, NM

2000

Bachelor of Science in Physical Education, Specialization

Southern Illinois University, Carbondale, IL

1997

University Honors Program,

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