Registered Representative
Professional ATS-optimized resume template for Registered Representative positions
Professional Title
Email: johndoe@email.com | Phone: (555) 123-4567 | LinkedIn: linkedin.com/in/johndoe | Location: New York, NY
PROFESSIONAL SUMMARY
Client-centric Registered Representative with over 8 years of experience advising individuals and institutional clients on investment strategies, retirement planning, and wealth management. Adept at building tailored financial solutions, maintaining compliance with regulatory standards, and leveraging advanced financial technologies. Proven track record of helping clients achieve their financial goals while ensuring transparency and trust. Passionate about continuous learning in emerging fintech innovations and regulatory changes to optimize client outcomes.
WORK EXPERIENCE
*Senior Registered Representative*
*WealthGuard Financial Advisors, New York, NY*
June 2022 – Present
- Managed a diversified portfolio of over $250M for high-net-worth individuals, achieving an average annual return of 9.2%.
- Designed personalized financial plans combining stocks, bonds, ETFs, and alternative assets, ensuring alignment with clients’ risk tolerances and long-term objectives.
- Led client onboarding processes, providing education on investment options and regulatory compliance, resulting in 30% increase in client retention.
- Conducted quarterly reviews and detailed performance reports, communicating complex financial data in accessible language.
- Implemented a new CRM system, improving client follow-up efficiency by 20%.
Financial Advisor & Registered Representative
*Evergreen Securities, Chicago, IL*
August 2018 – May 2022
- Provided tailored investment advice, expanding client base by 40% within two years through referral and outreach programs.
- Ensured strict compliance with FINRA and SEC standards during all transactions, averting potential regulatory issues.
- Coordinated with internal research teams to analyze market trends, optimizing client portfolios during volatile markets.
- Delivered seminars on retirement planning and tax-efficient investing, increasing awareness and engagement among retail clients.
*Junior Registered Associate*
*CapitalEdge Financial, Boston, MA*
July 2015 – July 2018
- Supported senior advisors in portfolio management, client onboarding, and administrative tasks.
- Conducted initial client surveys and risk assessments, laying groundwork for personalized financial strategies.
- Maintained accurate records of transactions and client communications, ensuring audit readiness.
- Participated in compliance training workshops, strengthening understanding of regulatory frameworks.
EDUCATION
**Bachelor of Science in Finance**
University of Illinois, Urbana-Champaign, IL
Graduated: 2015
CERTIFICATIONS
- Series 7 (General Securities Representative Exam)
- Series 63 (Uniform Securities Agent State Law)
- Certified Financial Planner (CFP) — In Progress (expected 2025)
- Life and Health Insurance License (NY & IL)
PROJECTS
- **Digital Client Onboarding Platform:** Led the integration of a new onboarding portal, leveraging DocuSign and CRM tools, reducing onboarding time by 35%.
- **Retirement Portfolio Revamp:** Developed a risk-adjusted retirement plan model for clients nearing retirement, improving client satisfaction ratings by 15%.
- **Compliance Training Initiative:** Spearheaded quarterly sessions for junior staff on evolving SEC regulations, fostering a culture of compliance.
TOOLS & TECHNOLOGIES
- CRM: Wealthbox, Redtail, Salesforce
- Financial Planning Software: eMoney Advisor, MoneyGuidePro
- Investment Platforms: Charles Schwab Advisor, TD Ameritrade Institutional
- Data Analysis: Excel (Advanced), Tableau
- Communication: Microsoft Teams, Zoom
LANGUAGES
- English (Native)
- Spanish (Fluent)
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