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20903 N 85th
Lane, Peoria AZ 85382-7410
Industry licenses: Series 7, Series 63
Charles Schwab & Co. Inc.,
June 2010 – present
Client Reporting and Securities Services, Phoenix AZ
• Responsible for answering hot line calls regarding client tax reporting, corporate actions, cost
basis for all security types, proxy services, dividend and other distributions.
• Worked with internal and external clients to provide solutions and answers creating a positive
• Knowledge of complicated cost basis adjustments i.e. wash sales, option assignment cost basis
adjustments, fixed income amortization and accretion, market discount etc.
• Received the Schwab Outstanding Customer Service Award for September 2014.
• Excellent relationships with many departments across the Enterprise.
• Making outbound calls to alert clients to urgent corporate action decisions
June 2008-May 2010
Customer Service Specialist, Menlo Park, CA
• Responsible for providing outstanding and downright friendly client service by providing branch
clients with seamless customer service, assessing and resolving client issues, while working at the
front desk, answering branch hotline calls and supporting branch Financial Consultants.
• Conducted ongoing Schwab.com workshops for the branch.
• Cashiering, took in stock certificates, check deposits, IRA contributions
• Other responsibilities included, setting appointments for new clients, estate appointments, notary
appointments, opening new accounts.
• Helped facilitate client special events outside of the normal work day.
July 1999 – October 2002
Regional Investor Education Specialist, San Francisco, CA
• Responsible for providing Schwab Investor workshops from Silicon Valley to the Wine country.
• Delivered as many as 300 workshops a year.
• Examples of the workshops: Creating a Portfolio Plan, Putting Your Plan into Action, Estate
Planning, Fixed Income, Schwab.Com.
• 2001 Investor Education MVP for Northern California, 2001 RIES Sales Leadership NorCal
Group and 2001 Individual Investor Enterprise Marketing & Sales “Outstanding Group Support”
Previous Charles Schwab Experience:
Outbound Business Development Specialist I, San Francisco, CA
• Proactive calls to new clients for Schwab educating them on all Schwab products and services.
Investment Specialist I, Corte Madera, CA
• Open new accounts and instruct clients on Schwab products and services.
Other Financial Institution Experience:
• Trading and performing customer service functions for discount brokerage clients.
• Processing equity, option and mutual fund trades for retail clients in heavy call volume
Education: Bachelor and Masters Degrees