LESLIE HODGSON
Operations - Financial Advisor
San Diego,CA
Summary
An enthusiastic team player, with focus on client service and account management. Strong customer service skills, attention to detail and organizational skills. Able to assess client needs and provide products and services to meet those needs. Able to interface effectively with diverse clientele and all levels of company personnel. Highly developed communication skills, both written and verbal. Proven ability to plan, manage and excel in a fast paced and changing environment.
Overview
24
24
years of professional experience
Work History
Client Service Associate
Focus Partners Wealth
San Diego, California
02.2021 - Current
- Serve as first point of contact for clients on all matters. Transitioning/onboarding, processing/tracking custodial paperwork, money movement, etc.
- Work with 3+ financial advisors on client issues, contracts, daily account maintenance.
- Coordinate with advisory staff to resolve service problems and boost client satisfaction.
- Deliver exceptional customer service to every customer by leveraging extensive knowledge of products and services and creating welcoming, positive experiences.
- Produce customized reports for clients that highlight key performance indicators and facilitate informed decision-making processes.
- Maintain CRM to ensure seamless execution of client requests, resulting in improved operational efficiency.
- Extremely organized, self-motivated, detail oriented.
- Perform all duties under limited supervision.
- Internal Team player - always willing to help in other areas of the office.
Operations Manager
Laurel Wealth Advisors
La Jolla, California
05.2012 - 07.2020
- Integral in transitioning/onboarding advisors and clients – New account packets, process new accounts, liaison with Custodian, client reporting, CRM.
- Auditing advisor clients, invoicing clients, reconcile, prepare, produce, & send quarterly fee statements to advisors, processing of payroll.
- Work with 25+ financial advisors on client issues, contracts, daily account maintenance.
- Direct contact with clients to assist with opening and maintaining accounts.
- Management of office including vendors, ordering and maintaining supplies, mailings.
- Established internal filing system and conversion to electronic files.
- Manage staff – assign tasks, oversee projects.
- IT Liaison – work with 3rd party IT manager to provide consistent computer, phone and server functions.
- Report directly to company owners - update all aspects of daily business.
- Implemented client reporting application to include training of financial advisors and staff, coordinating with provider, auditing of client accounts, daily maintenance.
- Human Resources – in charge of onboarding new advisors to firm.
- CRD registration, Business Cards, payroll, background check, contract, computer login/password assignment.
Commissions Analyst/Registrations Specialist
WFP Securities
San Diego, California
04.2001 - 04.2012
- Worked with 10+ registered representative to review, research, and resolve any fee/commission issues.
- Provided monthly management fee information to accounting department including breakdown of deposits, fees received.
- Established relationship with Performance Reporting System.
- In charge of onboarding new advisors to firm.
Education
Bachelor of Science - Therapeutic Recreation
University of Colorado At Boulder
Boulder, COSkills
Onboarding/Transition
Forms - Schwab, Fidelity
Client Servicing
Tamarac/Black Diamond
Microsoft Office
Detail oriented
Management Fee Billing
Human Resources
Payroll
Problem solving
CRM
Self-Motivated
Team player
Additional Information
- NASD , Series 7 (General Securities Registered Representative) through 2014 NASD Series 63 (Uniform Securities Agent) through 2014
Timeline
Client Service Associate
Focus Partners Wealth
02.2021 - Current
Operations Manager
Laurel Wealth Advisors
05.2012 - 07.2020
Commissions Analyst/Registrations Specialist
WFP Securities
04.2001 - 04.2012
Bachelor of Science - Therapeutic Recreation
University of Colorado At Boulder