James Muckell

Experience

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  Nationwide Planning Associates, Inc.

  Oct 2010 - Aug 2011

  Advisor Transition Specialist & Commission Analyst

  • Served as “quarterback” by assisting financial professionals transitioning to broker dealer.• Developed written procedures to streamline the transition process (i.e. support, training, follow-up, etc.).• Created and maintained software script designed to pre-populate forms for entire customer base.• Interfaced with all company departments (compliance, operations, licensing, accounting, marketing, technology, etc.) to ensure maximum synergy.• Processed all brokerage commissions firm-wide and developed written procedures to streamline the commission process. Show less

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  Mustard Seed Financial Services

  Sept 2011 - Sept 2019

  Office Manager

  • Managed the preparation and processing of documentation for the establishment of fee-based brokerage and direct investment accounts, ensuring compliance and accuracy.• Handled transaction processing for various investment accounts, maintaining accurate and up-to- date client files.• Coordinated the seamless transition of client account documentation across multiple broker-dealer migrations, preserving data integrity and continuity of service.• Organized client bookkeeping files to facilitate efficient tax return preparation and financial statement completion by the certified public accountant. Show less

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  Hampton Square Wealth Management LLC

  Jan 2019 - May 2021

  Administrative Assistant

  • Managed the preparation and processing of documentation fee-based brokerage and direct investment accounts, ensuring compliance with broker-dealer and RIA requirements.• Maintained meticulous records and facilitated day-to-day transactions, including contributions, distributions, and transfers for investment accounts.• Coordinated client appointments by and facilitating communication through timely reminders and confirmations.• Managed a robust client database, ensuring accuracy and up-to-date information for over 300 clients using Salesforce and similar platforms. Show less

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  Cornerstone Financial Associates

  May 2021 - now

  Operations Manager/ Financial Representative

  • Assist Advisors in the development of comprehensive retirement action plans, ensuring alignment with client objectives and financial goals.• Record and compile detailed notes from client meetings to inform the creation of retirement action plans, social security maximization reports and recommendations for investment products.• Prepare and manage the submission and follow-up of new business applications, facilitating accurate policy issuance and timely compensation for advisors.• Create and manage a comprehensive document tracking system to monitor monthly and annual production metrics for independent advisors, facilitating goal assessment and strategic planning.• Revise and optimize company procedures, enhancing the efficiency of the agent onboarding process.• Administer contracting and licensing operations, ensuring compliance and organizational efficiency. Show less