1. Summary
Highlights
Accomplishments
Experience
Ronda Pingel
1102 South 22nd Street, Rogers AR 72758
Cell: 479-586-1545
Ronda_pingel1019@yahoo.com
Five years experience in the financial industry and 2 1/2 years as a Registered Client Service Associate.
Experienced in client services and communication. Knowledgeable in cashier, cage duties and wire
operation. Familiar with SEC and FINRA compliance rules and laws. Owned and operated 4 businesses.
My passion is making a client satisfied. When they leave the office, I want them to leave happier than
when they came in. I am also willing and eager to continue my education in the financial field.
Knowledgeable in SEC compliance laws and
regulations
Knowledgeable in Thompson 1
Cage knowledgeable
Cashier skills
Computer skills iOS and Microsoft operating
systems
Customer relations
Problem solver
Ability to multi task
Detail oriented
Received recognition and reward for discovering an associate at a retail store was embezzling
money.
Passed Series 7 test and received license
Passed Series 66 received license
September 2010 to September 2015Stifel
Wire operator/Cashier/Registered Client Service Associate
Rogers, AR
Managed the office daily and was in charge of opening and closing the office to ensure proper
compliance with market hours.
Managed cage area which ensured quality client service and timely responses to questions and
crisis
Managed client accounts and ensuring prompt deposits and checks were issued correctly and in a
timely manner.
Managed phone calls which also ensured quality client service
Managed all client files ensuring we were in compliance with FINRA
Managed daily and monthly work and reports resulting. in compliance with FINRA
Closed accounts for clients when no longer suitable to their needs
September 2008 to September 2010City of Rogers Public Library
Circulation Department
Rogers, AR
Checked patrons books in and out which ensured books were tracked properly
Updated patrons account(s) as needed
Substituted for circulation manager doing employee scheduling
Requested books from other libraries for patrons per their request

2. Education
Certifications
Oversaw the ordering, updating and cataloging of all periodicals.
December 1995 to December 2007Pingel's Inc.
Part owner
Rogers, AR
Managed and maintained 9 rental properties
Responsible for day to day activities in the office.
Responsible for all accounts payable
Responsible for all accounts receivable
Responsible for all payroll
1989Rogers High School
High School Diploma
Rogers, AR
Series 7 license
Series 66 license
References available on request