William Lee
Markham,Canada
Summary
Experienced professional in wealth management with expertise in financial planning, investment strategies, and building strong client relationships. Collaborative team player with a proven track record of achieving results and adapting to changing needs. Proficient in portfolio management, risk assessment, and wealth preservation. Recognized for reliability, results-driven mindset, client-centric approach, and exceptional communication skills.
Overview
25
25
years of professional experience
1
1
Certification
Work History
Wealth Advisor
TD Wealth
01.2017 - 12.2023
- Build extensive networks of relationship in the retail branches in Markham and Scarborough area
- Work as quarter-back with Financial Advisors, Small business Advisor and Branch managers from retail branches; private investment counsel, private investment advisor and private bankers from Wealth management; plus, Estate and Will from Private Trust
- Provide one-on-one coaching and education to branch sales staff on wealth offering and value proposition to ensure all potential prospects, OFI asset or HVC have identified
- Conduct a deep discovery meeting with clients who have complex needs; then warm transfer the client to wealth partner specialists based on client’s situation to create a smooth client onboarding process
- Provide timely communication on the status of all referred clients by using CRM, while delivering 'legendary client experiences' and addressing the holistic total wealth offering
- Proactively identified clients who may need corporate executor services and coordinate with Private Trust and external lawyers on drafting the Wills
- Successfully closed $110MM with sales on an annual basis
Regional Manager
TD Direct Investing
11.2008 - 12.2016
- Proactively build relationships through regular contact with clients, focusing on revenue based Active Traders and referral based High net worth Clients
- Successfully bringing $200MM assets annually by actively listening on opportunities to ask for more business from both potential and existing customers
- Conduct more than 10 private seminars/webinars per year in both Cantonese and Mandarin to different groups of high value clients to create legendary client experiences
- Organize and plan TD Annual appreciation Dinner in both Vancouver and Toronto by inviting 300 clients and guests to shine TD brand
- Excellent track of record in referrals to wealth partners, including Private Banking, Invest Advisor, Investment Counsel and High Net Worth Planners
- Travel across the country to visit existing high value clients and prospects to ensure all sales target are reached on a quarterly basis
Investment Rep / EBS Team Manager
TD Direct Investing Call Center
12.1998 - 10.2008
- Managed a group of 14 Investment Representatives who review orders from WebBroker
- Monitor daily statistics to ensure the service level is always at 95% and above
- Provide coaching to each team members on a bi-weekly basis to keep error to the minimum level
- Attend monthly conference call with IBM/IT support team and provide feedback on system upgrades
- Handle trade dispute by listening to the taped conversation and negotiate with the client
- Translate all greeting scripts into Cantonese and Mandarin for the entire Asian Team
Education
Bachelor of Arts - Major in Economics
University of Toronto
Skills
- Superior relationship building skills
- Strong knowledge in wealth management and investment solutions
- Sales-driven mindset and in-depth understanding of affluent client's multi-financial service needs
- Strong presentation skills and able to act quickly with the correct response
- Strong knowledge in Private trust, Wills and Estate planning
- Ability to coach peers to identify new business opportunities by building the total wealth approach
Certification
- CSC
- CPH
- DFC
- OSC
- PFPC
- OS
- COC
- TTC
- TAC
- IMT
- PMT
- BMC
- FLC
- CICEA
- CIM
Languages
Cantonese
Mandarin
Credentials
- CIM
- FCSI
Timeline
Wealth Advisor
TD Wealth
01.2017 - 12.2023
Regional Manager
TD Direct Investing
11.2008 - 12.2016
Investment Rep / EBS Team Manager
TD Direct Investing Call Center
12.1998 - 10.2008
- CSC
- CPH
- DFC
- OSC
- PFPC
- OS
- COC
- TTC
- TAC
- IMT
- PMT
- BMC
- FLC
- CICEA
- CIM
Bachelor of Arts - Major in Economics
University of Toronto
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