Investment Representative Resume Sample

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Pamela Weber
194 Pansy Centers,  Boston, MA
+1 (555) 939 5463

Work Experience

Investment Representative Specialist
06/2016 - PRESENT
Houston, TX
  • Adhere to Scottrade’s series 7 and 63 license study timeline and schedule
  • As a licensed Investment Representative, this job has the authority to execute trades as per client instruction in accordance with IIROC regulations and CIBC ISI policies and procedures
  • If unlicensed, adhering to Scottrade’s Series 7 and 63 license study time and schedule
  • Series 7 and 63 licensing required, or ability to obtain within established timeframe of assigned study program - FINRA. Clean U4 securities record required
  • Cultivate client relationships and build loyalty by providing efficient, effective, and friendly client service
  • Articulate key investing principles to clients in a clear, understandable fashion
  • Provide added value for clients by offering personalized, relevant investment solutions
  • Actively pursue opportunities to acquire additional assets and new clients
Investment Representative
10/2011 - 03/2016
Phoenix, AZ
  • Understand and communicate ACI funds, products, policies, procedures, and financial industry knowledge
  • Basic understanding of IRS regulations and recognition of tax implications
  • Targeted to achieve all allocated objectives associated with the Hitachi Vantara sales plan currently applicable
  • Develops, coordinates and manages all account and team activities within the account, consisting of sales/pre-sales, support and technical resources. Identifies and brings in any additional resource required to support the strategic objectives of both the account and Hitachi Vantara
  • Responsible for overall business development, programs, alliances and other business activity relative to Hitachi Vantara goals in the account
  • Tracks Hitachi Vantara portion of total IT spend in the account
  • Comply with all published Hitachi Vantara policy guidelines
Entry Level Investment Representative
10/2006 - 04/2011
Houston, TX
  • Uncover potential new assets by recognizing and responding to visual and audible clues
  • Communicate with clients by telephone while navigating a Windows based system
  • Perform research to identify, analyze, and solve problems
  • Communicate client suggestions or concerns regarding process improvement
  • Initiate business process improvement ideas
  • Effectively communicate with other departments to ensure clients’ needs are met
  • Maintain a broad knowledge of American Century Investments’ philosophy


California State University, San Bernardino - Palm Desert Campus
2001 - 2005
Bachelor's Degree in Finance

Professional Skills

  • This role requires focused concentration while reviewing different system platforms and listening intently to identify opportunities or decipher information in order to provide the best client service experience
  • Outstanding Customer Service abilities and strong telephone skills
  • Application of DI Customer Experience Index, delivering loyal and outstanding service with each client Interaction
  • This role operates within a normal office physical work environment with little exposure to adverse working conditions
  • Experience with presentations to small-medium size groups. Comfortable meeting clients face to face
  • Strong interest in candidates who are also fluent in Spanish
  • Working in a fast paced environment, handling a large volume of calls and maintaining critical accuracy where an immediate response is required

How to write Investment Representative Resume

Investment Representative role is responsible for training, securities, finance, credit, security, compensation, trading, education, research, events.
To write great resume for investment representative job, your resume must include:

  • Your contact information
  • Work experience
  • Education
  • Skill listing

Contact Information For Investment Representative Resume

The section contact information is important in your investment representative resume. The recruiter has to be able to contact you ASAP if they like to offer you the job. This is why you need to provide your:

  • First and last name
  • Email
  • Telephone number

Work Experience in Your Investment Representative Resume

The section work experience is an essential part of your investment representative resume. It’s the one thing the recruiter really cares about and pays the most attention to.
This section, however, is not just a list of your previous investment representative responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular investment representative position you're applying to. The work experience section should be the detailed summary of your latest 3 or 4 positions.

Representative Investment Representative resume experience can include:

  • Excellent verbal and written communication skills in both English and French
  • Fielding tax form, dividend, cost basis, IRA distribution, and other tax related inquiries
  • Providing CSP account balances information
  • Discussing CSP account activity through shadow
  • Guiding a member to view statements and tax forms on
  • Guiding the member on how to request changes

Education on an Investment Representative Resume

Make sure to make education a priority on your investment representative resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your investment representative experience. For example, if you have a Ph.D in Neuroscience and a Master's in the same sphere, just list your Ph.D. Besides the doctorate, Master’s degrees go next, followed by Bachelor’s and finally, Associate’s degree.

Additional details to include:

  • School you graduated from
  • Major/ minor
  • Year of graduation
  • Location of school

These are the four additional pieces of information you should mention when listing your education on your resume.

Professional Skills in Investment Representative Resume

When listing skills on your investment representative resume, remember always to be honest about your level of ability. Include the Skills section after experience.

Present the most important skills in your resume, there's a list of typical investment representative skills:

  • Sales experience and relationship management experience
  • Investment transaction software experience
  • Fluency in French, Mandarin, and/or Cantonese is considered a strong asset for our Mississauga Office
  • Relevant professional experience
  • Discussing CSP AIP plans (including guiding the member to update on
  • Guiding members to self-service on (including contributions and withdrawals)

List of Typical Skills For an Investment Representative Resume


Skills For Service Center Investment Representative Trainee Resume

  • Phone experience with customers
  • Discussing IRA account activity
  • Keying monetary transactions, money movement up to 250k
  • Business development of new and existing clients through telemarketing, networking, conducting seminars, community involvement, etc
  • Completion of the Derivatives & Fundamentals Course and the Options Licensing Course within 6 months, training & support provided

Skills For Registered Service Center Investment Representative Resume

  • Contribute to the achievement of Investor Service Centre (ISC)objectives by meeting or exceeding individual Growth the Business goals
  • Perform client instructions in accordance with industry and TD Direct Investing trading policy
  • Support the achievement of the Investor Service Centre (ISC) objectives by meeting or exceeding individual Growth the Business goals
  • Bilingual both speaking and reading Mandarin/Cantonese or French
  • Navigate multiple computer programs while maintaining a smooth, intelligent conversation with clients
  • Successful completion of required training
  • Completion of the Conduct & Practices Handbook within 2 months of start date, training & support provided
  • Plan for the future and contribute positively to the overall productivity of the team by maximizing individual productivity, availability and flexibility
  • Participate and collaborate in outbound calling for service & sales campaigns at various times throughout the year

Skills For Master Investment Representative Resume

  • Educates Customers through Training
  • Investment transactions and servicing – 1 year
  • Knowledge of ADP and trading systems would be an asset
  • Mutual fund service calls, entering both simple and complex service transactions
  • Series 6 and 63 registrations required, or ability to successfully complete examinations within first three weeks of employment
  • Completion of the Canadian Securities Course (CSC) is an asset
  • Deliver accurate, timely information on market activity and developments, company products and services and customer account information
  • Proactively identify and adapt to the needs of the customer and offer creative solutions by learning about TD Direct Investing products and services and their applicability to customer/market situations

Skills For Investment Representative Specialist Resume

  • An excellent communicator who is collaborative, with proven client service skills and the ability to assess each client's situation and the impact of proposed transactions
  • Identify creative sales and advice opportunities and refer customers to appropriate internal Bank partners
  • Financial market knowledge is an asset
  • Establish and maintain effective contacts and teamwork within the Call Centre, Sales Queue and other CIBC partners to ensure delivery meets clients’ needs and timelines
  • Provide pertinent information in a courteous and professional manner explaining relevant trading policies and procedures as required
  • Provide a positive client experience by providing Service Excellence with adherence to Business Requirements, maintaining a high level of Product Knowledge and always using proper Telephone Etiquette
  • Provide exceptional support to both clients and staff as the Subject Matter Expert in Corporate Reorganizations that affect OLB clients and it’s delivery channels
  • Support the IPO/NI business with our President’s List & Selling Group New Issue clients
  • Derivative Fundamentals Course (DFC), Options Licensing Course (OLC)

Skills For Five Star Client Investment Representative Resume

  • Responds positively to working within the structure of Hitachi Vantara and is genuinely enthusiastic to face the challenge which Hitachi Vantara offers
  • Actively support and promote BIL strategic change initiatives
  • Provides a competitive base pay with a generous variable sales compensation program
  • Fluency in French and English in Montreal
  • Canadian Securities Course (CSC), Conduct and Practice Handbook (CPH) are required
  • Sales acumen to be able to pro-actively sell PE Products & Services and ask for referrals
  • Fluency in English, French in Montreal (Cantonese and/or Mandarin would be a definite asset)
  • Successful track record of negotiating high value orders with a recognised supplier within the I.T. industry or At least proven experience within Hitachi Vantara in a relevant sales/marketing support or SE role
  • Commits Time and Effort to Ensure Success

Skills For Investment Representative Montreal Specialist Resume

  • All Services shall be performed at USAA facilities
  • Asks questions to discover key information and life events and to understand the member’s need, and documents relevant information
  • Recognizes verbal and/or written cues and potential opportunities to meet member needs through a product or service
  • Encourages member to take action to address needs and opportunities
  • Supports enterprise business goals through the achievement of individual referral and product acquisition goals

Skills For Senior Investment Representative Wealth Management \ Online Brokerage Resume

  • Completed Canadian Securities Course (CSC) and
  • Provides Proactive Assistance/Support
  • Receives service requests for mutual fund, brokerage or college savings plan products from members through various member contact channels
  • Fulfills the member's request through appropriate channel
  • Applies foundational relationship building and referral skills by seeking opportunities to build, deepen, and retain the member relationship through multi-company products or services

Skills For OLB Investment Representative Reorg\ims Resume

  • O est/transactions to be handled
  • High level research on tax related money movement
  • Make a contribution or withdrawal from their College Savings Account on
  • Change portfolio allocation/investment model
  • High level research on CSP money movement
  • Collaborate Competitive Drive

Skills For Star-client Investment Representative Resume

  • Develops Technical Competence
  • Courageous and Accountable
  • Money movement – 1 year
  • Account security and fraud – 1 year
  • Successful completion of the Canadian Securities Course (CSC) and Practice Handbook is mandatory
  • Completion of Options and Derivatives course is mandatory
  • Curious and Adaptable

Skills For Client Investment Representative BMO Investorline Resume

  • Find a Ugift deposit
  • Make contribution or withdrawal from IRA mutual fund account
  • High level research on mutual fund money movement
  • Investment performance related questions

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