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Yyyyyy x. yyyyyy

0000 xxxxxx xxxx , xxxx , xxxxx 00000










Hiring Agent Name


Company Name


City/State/Zip Code




I am currently seeking a challenging career opportunity in a <financial/securities analyst> capacity and am submitting my resume for your review.  In advance, thank you for your time and consideration.


As indicated in the accompanying resume, I bring to you broad-based experience in financial roles, a considerable aptitude for investment banking and securities, and the flexibility to expertly handle simultaneous projects and demands with an unwavering commitment to accuracy, compliance, and client satisfaction.  To complement these qualifications, I offer solid forecasting, research, planning, analytical, and critical thinking skills which are paramount as a  <financial/securities analyst>.


As a dedicated Registered Brokerage Assistant with Wells Fargo, I believe I have proven to be a results-driven professional and stellar leader with an exemplary work ethic. I am confident that I am an ideal candidate for this opportunity and look forward to interviewing with you in the near future.






Yyyyyy x. yyyyyy






Yyyyyy x. yyyyyy

0000 xxxxxx xxxx , xxxx , xxxxx 00000



Highly analytical Finance & Investment Specialist eager to contribute expertise toward supporting the employer in driving business growth and increasing bottom-line profits as a key team member.


Qualifications Profile 


         Keen interests and capabilities in investment banking, securities, and financial analysis.

         Proficiency in problem solving, decision making, and delivering superlative client service.

         Reputation for integrity, sound business judgment, well-developed prioritization skills and commitment to confidentiality.

         Highly versatile; quickly adapt to new roles, tasks, software, responsibilities and environments.

         Dependable, ethical and extremely productive; consistently ensure and perform a thorough and quality job in all endeavors.  

         Skillfully anticipate, plan, and respond accordingly to changing business priorities.

         Establish strong client relationships to maximize satisfaction, retention, and referrals.




Series 7, 6, 63 and 66


Life, Accident and Health, state of Texas


Professional Experience


Wells Fargo Investments, LLC, Houston, TX, 2009 to Present  

Registered Brokerage Associate 

         Cultivate and maintain outstanding client relationships, vital to optimizing satisfaction and loyalty.

         Expeditiously execute full range of trades on client accounts and provide support to top-producing financial consultants generating $1M annually.

         Leverage solid multi-tasking abilities to open accounts, respond to client inquiries, process  requests such as movement of funds and equities, steer compliance, and maintain files.


Capital One Investments, LLC, Houston, TX, 2007 to 2009

Registered Sales Assistant

  • Advanced sales revenues for company by effectively supporting numerous financial consultants throughout Houston; created informative and compelling proposals for prospective clients and assembled profiles for prospective and existing clients to illustrate potential financial needs.
  • Exercised strong organizational skills in preparing documentation for new client files.
  • Fostered, nurtured and maintained exemplary client relationships through frequent follow-up and diligent account monitoring and maintenance.





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Professional Experience continued


  • Facilitated trade orders on client accounts as requested.

         Provided senior management with critical tools for measuring performance and defining future business strategies by proficiently managing production numbers and company reporting for entire team.


Capital One, Humble, TX, 2005 to 2007

Senior Teller Mentor

  • Efficiently processed transactions related to deposits, withdrawals, savings bonds, cashier s checks, and traveler s checks, successfully and consistently meeting volume goals.
  • Managed balancing and servicing of ATM, cash advance terminal, and coin machine to ensure and optimize business continuity.
  • Demonstrated excellent leadership talents in training, coaching and mentoring new associates in bank policies, procedures, rules and regulations.  


Foleys Department Store, Humble, TX, 2003 to 2005

Customer Service Associate and Cash Office Associate

  • Applied dynamic communication and interpersonal skills toward providing exceptional customer service and attention resulting in winning two Selling Star awards in 2004.
  • Audited daily register activity via Glory Retail system, verified cash totals, investigated and resolved discrepancies, and assisted with vault operations.


Keller Williams Realty, Kingwood, TX, 2000 to 2002

Receptionist and Office Assistant

  • Performed broad-based administrative functions inclusive of answering and routing incoming telephone calls, developing visually-appealing advertising brochures, developing client database, and creating agent schedules.
  • Proactively assisted agents with account maintenance and billing, requiring meticulous attention to detail.




Bachelor of Science, Psychology, University of Houston, Houston, TX, graduated 2004


Computer Skills


Microsoft Office Suite (Word, Excel, PowerPoint, Outlook), Profiles, NetEx Pro

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