Thomas Stewart
Toronto,Canada
Summary
Registered Investment representative with 5+ years of experience within banking and wealth management serving high net worth clients. Recognized for strong interpersonal skills, disciplined execution and a steadfast commitment to exceptional client satisfaction, compliance and risk management. Proficient with Microsoft office, Croesus, Broadridge, FIS Wealthware, and Salesforce. Currently pursuing a Personal Financial Planner (PFP) designation with the Canadian securities Institute.
Overview
9
9
years of professional experience
Work History
Client Associate – Investment Representative
CIBC Wood Gundy
Toronto
03.2023 - Current
- Assist Investment Advisors in building investment plans aligned with clients investment objectives, time-horizons, and risk tolerances.
- Monitor portfolio performance to ensure asset allocation and risk levels remain within acceptable limits.
- Execute trades of equities, bonds, money market funds and currency using the electronic platform, FIS Wealthware.
- Maintain client and household data, tasks and opportunities through Salesforce.
- Create and present financial plans to clients tailored to their personal, retirement and estate planning goals.
Administrative Assistant
CIBC Wood Gundy
Toronto
05.2022 - 03.2023
- Serve as a point of contact for high net worth clients, responding promptly to inquiries and service requests to ensure a high level of client satisfaction.
- Coordinate client onboarding, account opening, suitability updates and periodic portfolio reviews.
- Facilitate transfers, deposits/withdrawals, wires, RSP/TFSA contributions.
- Perform research on equity, mutual fund and ETF products as part of KYP due diligence.
- Adhere to compliance and regulatory requirements of CIBC policies, including KYC, suitability, AML/ATF, privacy, and record retention.
Mobile Mortgage Advisor
CIBC
Edmonton
08.2020 - 04.2022
- Connect clients with the right mortgage and credit products to fit their homeownership needs and goals.
- Call potential clients identified by the bank as in need of new mortgages, renewals, refinances and home equity lines of credit.
Leasing Coordinator
Century 21 Platinum Realty
Edmonton
10.2019 - 08.2020
- Assist in the management of 500+ rental units in the Edmonton area. Including single family houses, condominiums, multi-family properties.
- Market properties for rent on various rental platforms, follow up on leads, book appointments, show properties to prospects, screen applications of potential tenants and perform credit checks.
- Draft and sign leases/move in reports with new clients.
- Perform annual inspections of properties to identify areas needing preventative or routine maintenance.
- Prepare and file all court documents for claims against clients who have done significant damages to properties or gone into arrears.
- Attend hearings held at the Landlord and Tenant board.
Realtor
Century 21 – Platinum Realty
Edmonton
08.2016 - 08.2020
- Assisting clients in buying, selling, renting and investing in the Edmonton Real Estate.
- Develop and run ad campaigns on MLS, Facebook and Instagram to obtain proper exposure for listings.
- Consult with clients on how to improve the marketability of their property through photography, virtual tours, cosmetic improvements, small to medium-scale renovation and landscaping projects.
Site operations/Crew Lead
- Management and operational support for medium-sized sporting events including runs, marathons and triathlons.
- Managed and lead a crew of 15+ individuals during the Edmonton Heritage Festival. Ensuring smooth operation while maintaining a high standard of work and safety.
Education
Business Administration Accounting Diploma -
NAIT
EdmontonSkills
- Registered Representative
- Microsoft Office Suite
- Broadridge
- Thompson One
- Croesus
- Salesforce
- Financial planning
Hobbies and Interests
- Fly Fishing
- Squash
- Hunting
- Baking
- Culinary experimentation
Certifications Courses
- Investment funds in Canada Course (IFIC)
- Canadian Securities Course (CSC)
- Conduct and Practise Handbook (CPH)
- Wealth management Essentials (WME)
- Financial planning Supplement (FPSU)
- Financial Planning Integration Course (FPIC)
Timeline
Client Associate – Investment Representative
CIBC Wood Gundy
03.2023 - Current
Administrative Assistant
CIBC Wood Gundy
05.2022 - 03.2023
Mobile Mortgage Advisor
CIBC
08.2020 - 04.2022
Leasing Coordinator
Century 21 Platinum Realty
10.2019 - 08.2020
Realtor
Century 21 – Platinum Realty
08.2016 - 08.2020
Site operations/Crew Lead
Business Administration Accounting Diploma -
NAIT