Regina Moreno
Mexicali,BCN
Summary
Series 7 and Series 66 licensed Financial Advisor Executive with over 10 years of experience in wealth management. Proven track record of building strong client relationships, optimizing investment portfolios, and achieving financial goals. Seeking a challenging role to leverage expertise in financial planning and strategic advisory.
Overview
16
16
years of professional experience
1
1
Certification
Work History
Senior Financial Advisor
Wealth Management Group, Inc.
02.2013 - Current
- Developed Customized Financial Plans: Collaborated with high-net-worth clients to create tailored financial strategies aligned with their objectives.
- Investment Analysis: Conducted thorough research and analysis to recommend suitable investment products, including equities, fixed income, and alternative investments.
- Portfolio Optimization: Managed diversified portfolios, monitored performance, and adjusted asset allocations to maximize returns while minimizing risk.
- Client Relationship Management: Cultivated long-term relationships, addressing client concerns, and providing ongoing financial guidance.
- Wealth Preservation: Implemented tax-efficient strategies and estate planning solutions to preserve and transfer wealth across generations.
- Improved client financial stability by assessing their current financial situation and developing customized plans.
Associate Financial Advisor
Capital Investments, LLC
08.2008 - 12.2012
- Assisted Senior Advisors: Supported senior team members in client meetings, portfolio reviews, and investment recommendations.
- Client Onboarding: Facilitated new client onboarding, including risk assessments, goal setting, and account setup.
- Market Research: Stayed informed about market trends, economic indicators, and industry developments.
- Compliance and Regulations: Ensured adherence to regulatory requirements and compliance standards.
- Enhanced client satisfaction by providing personalized financial advice and investment recommendations.
- Streamlined financial planning processes for increased efficiency and improved client experience.
- Developed comprehensive financial plans tailored to individual clients'' needs, goals, and risk tolerance levels.
- Assisted with portfolio management to ensure optimal asset allocation and diversification for clients.
Education
MBA - Business Administration
New York University
New York, NY06.2008
Bachelor of Science - Finance
University of California, Berkeley
Berkeley, CA06.2006
Skills
- Financial Planning
- Investment Management
- Retirement Planning
- Estate and Tax Strategies
- Client Communication
- Client Assessments
- Stock market expertise
- Financial software
- Portfolio Management
Certification
Series 7 – General Securities Representative Exam
Series 66 - Investment Advisor Representative (IAR)
Timeline
Senior Financial Advisor
Wealth Management Group, Inc.
02.2013 - Current
Associate Financial Advisor
Capital Investments, LLC
08.2008 - 12.2012
MBA - Business Administration
New York University
Bachelor of Science - Finance
University of California, Berkeley
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