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Elise Kern

Elise Kern

Senior Registered Client Service Associate

Followers of Elise Kern30 followers
location of Elise KernWoodbury, New York, United States

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  • Timeline

  • About me

    Senior Registered Client Associate at Wells Fargo Advisors

  • Education

    • Dowling College

      1994 - 1996
      Master of Business Administration (M.B.A.) Banking and Financial Support Services

  • Experience

    • Morgan Stanley

      Jun 1989 - Jan 2011
      Senior Registered Client Service Associate

    • Wells Fargo Advisors

      Jan 2011 - now
      Senior Registered Client Associate

      - Provide detailed client service in processing funds and securities transfers, online assistance, securities research, data analysis and portfolio reviews. - As a registered representative, enter trade orders for common and preferred stocks, corporate and municipal bonds, CD's, treasuries, mutual funds, ARS/AMPS, among all other appropriate securities. Responsible for soliciting client indication of interest for IPOs. - Act as primary liaison between front, middle, and back office as well as IT, Compliance, Risk Management, and other internal groups and clients' external interested parties. - Responsible for new account opening, trade processing, and account maintenance for existing retail clients. Educate investors regarding investment management services, products, policies and fund information and conducting targeted research while leveraging industry knowledge to solve customer inquiries. Show less

  • Licenses & Certifications

    • Series 7, Series 63, Series 66, Series 31

  • Honors & Awards

    • Awarded to Elise Kern
      Named as one of the Platinum Council Client Associates Wells Fargo Advisors 2018 The Wells Fargo Advisors Platinum Council Client Associate (previously Premier Client Associate) distinction is held by a select group of Registered Client Associates within Wells Fargo Advisors nominated by their management for their consistent display of professionalism, integrity and core leadership values.