1. Michael B. Petrone
1708 Nantuckett Lane, Apt #208
Charlotte, North Carolina 28270
mbpetrone@msn.com
(310) 739-9765
Profile
• Successful Client Service Associate working with high net worth clients
• Self-starter that enjoys challenging, exciting and meaningful work
• Meticulously attentive in providing timely and accurate customer
service
• Thrive in a team environment as well as working independently
Financial
Knowledge
& Skills
• Stock, mutual funds, and bond trading
• Estate planning, living trusts, and 401K/Defined Benefit Pension Plans
• NASD procedures and regulatory compliance
• Marketing and seminars for existing clients and referrals
• Microsoft Excel, Word and PowerPoint
Experience
MetLife
Senior Broker-Dealer Cashiering Associate, Charlotte, NC
• Processed all domestic and foreign Fed Fund Wires, 3rd
party
checks and Standing Instructions
• Worked with Pershing to ensure all financial transactions were
approved before daily cutoff
• Daily review of wires and checks for compliance auditing purposes
• Direct interface with representatives and associates concerning
incoming and outgoing asset activity and account documentation
2014
Morgan Stanley Wealth Management
Senior Registered Associate, El Segundo, CA
• Main point of contact for over 200 clients that generated over $250
million Assets Under Management
• Executed trades, wires, journals and all other financial transactions
• Produced asset allocation and performance reports for client
reviews
• Setup new accounts along with initiating all account transfers
2008-2013
Edward Jones
Branch Office Assistant, Rancho Palos Verdes, CA
• Main point of contact for over 100 clients
• Prepared portfolio reviews for advisor/client meetings
• Monitored daily and monthly cash flow balance sheets
2007-2008
Linsco Private Ledger, Regional Investment Advisory Firm
Operations Manager and Advisory Assistant, Torrance, CA
• Transacted all business expenses and ordering of supplies for
office
• Composed all new accounts along with executing client
transactions
• Ensured full compliance with NASD procedures
2002-2007
The Householder Group, Regional Investment Advisory Firm
Financial Services Representative, Torrance, CA
• Interacted with several financial advisors in processing existing
client trades and financial transactions along with seeking new
prospects
• Supplied quarterly performance reports for over 250 clients
• Performed in-depth audits annually for satellite branch offices
1998-2002
Licenses Series 7 and 63
Education University of Southern California Bachelor of Science Degree – Business
Administration