Abraham Zavala
Blue Island
Summary
Registered representative with 6 years of brokerage industry experience assisting customers with investment related transactions. Continuously looking to further contribute and add value to the organization with in-depth understanding of internal systems and procedures.
Passionate about being able to provide courteous and personalized service. Highly ambitious and possess skills, motivation, and knowledge related to the banking/finance industry.
Overview
7
7
years of professional experience
1
1
Certification
Work History
Client Service Analyst
J.P Morgan Securities LLC
03.2024 - Current
- Review and handle line of business's court related matters (Court Order & Levy Requests, Qualified Domestic Relation Orders, Tax Levies, Sworn Documents, ETC.)
- Review and approve line of business's outgoing correspondence (Account Closure Letters, Elder Abuse Notifications, Firm at Fault Letters)
- Review and apply/release appropriate brokerage restrictions on account (Elder Abuse Restrictions, Court Order and Levy Restrictions)
- Review and process line of business ADA weekly reconciliation report
- Reviewed incoming correspondence and filed complaint reports when needed.
Client Data Analyst (Client Service Escalations)
J.P Morgan Securities LLC
10.2022 - Current
- Handle escalated and fraud related issues over the telephone in a team environment and provide issue resolution to these matters
- Coordinate with proper internal departments to determine exceptions to standard operating procedures if warranted
- Assist in verification of transaction callbacks and file complaint reports when needed
- Leverage relationships with various areas of Wealth Management Operations to resolve customer issues
- Assist with research related matters (Trade Corrections, Fee Waivers, Elder Abuse Referrals, Abusive Client Exits, Firm at Faults, ETC.)
Investment Professional I & II
J.P Morgan Securities LLC
01.2019 - 10.2022
- Provided centralized support and servicing to firm’s financial advisors, assistants, and high net worth private clients
- Served as liaison to internal staff and brokerage operations
- Assisted advisors and clients with processing inquiries (Applications, ACAT’s, Maintenance requests, ETC.)
- Assisted advisors and clients with service-oriented requests via firm’s internal brokerage systems (Money Transfers, Trades, Credit Line Draws & Payoffs, ETC.)
- Expanded skillset to assist client with Retirement related transactions (Conversions, Recharacterizations, Recodings, ETC.)
Financial Advisor
Transamerica Financial Advisors
04.2017 - 01.2019
- Worked with clients on key areas of retirement planning
- Worked with clients to assess and meet short/long-term financial goals
- Utilized diverse Wealth Management strategies to meet client objectives
- Provided information on accounts, insurance plans and diverse funds
Education
Associate In Arts -
College of DuPage
Glen Ellyn, IL05.2016
Skills
- Stock/Equity Securities
- Fixed Income Securities
- Investment Company Products, etc
- Individual Accounts
- Joint Tenant Accounts (JWROS, In Common)
- Custodial Accounts (UTMA, UGMA)
- IRA's (Traditional, Roth, SEP, etc)
General Investment Products Knowledge
General Customer Account Knowledge
- Transfer Processing (ACATS, Non ACATS, DRS, etc)
- Proficiency with Internal Systems
- Adaptable to Industry Regulatory Changes
- Bilingual (English & Spanish)
- Team Oriented Mentality
- Strong Time Management Skills
- Excellent Communication Skills
Brokerage Operations Knowledge
Personalized/Customer Experience
Certification
Series 7 (General Securities Representative Examination)
Series 24 (General Securities Principal Examination)
Series 66 (Uniform Combined State Law Examination)
Timeline
Client Service Analyst
J.P Morgan Securities LLC
03.2024 - Current
Client Data Analyst (Client Service Escalations)
J.P Morgan Securities LLC
10.2022 - Current
Investment Professional I & II
J.P Morgan Securities LLC
01.2019 - 10.2022
Financial Advisor
Transamerica Financial Advisors
04.2017 - 01.2019
Associate In Arts -
College of DuPage
Series 7 (General Securities Representative Examination)
Series 24 (General Securities Principal Examination)
Series 66 (Uniform Combined State Law Examination)
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