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Maulik Vora

Maulik Vora

Client Specialist

Followers of Maulik Vora2000 followers
location of Maulik VoraGreater Toronto Area, Canada

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  • Timeline

  • About me

    Private Banker II TD Wealth Private Banking

  • Education

    • University of Mumbai

      -
      Bachelor in Financial Markets

      Activities and Societies: Attending mock stocks, Presentations. Major CoursesDerivative MarketsGlobal Capital MarketPortfolio ManagementInsurance Fund ManagementForeign Exchange MarketRegulation of Securities Markets

    • Lambton College

      -
      Post Graduation in Financial Planning and Wealth Management Finance and Financial Management Services

      Major CoursesInvestment Funds in CanadaCanadian Securities Course (1 & 2)Personal Financial Planning (1 & 2 )Financial Analysis and BudgetingConduct book and Practices (CPH)

  • Experience

    • Cash Money

      Jun 2016 - Aug 2017
      Client Specialist

      • Responsible for providing client service excellence in retail stores.• Conduct financial transactions, balance daily transactions, exchange foreign currencies, auditing documentations, reporting suspicious activities.• Perform compliance for any transactions above $1000 to ensure that all the transactions are done under the Canadian law. • Ability to take decisions in the absence of management in the favour of the company standards and satisfied customer services.• Up selling the products introduced by company on the regular basis so that set targets can be achieved on weekly basis.• Accurately registered all the client’s accordance with corporate procedures. Show less

    • CI Investments Inc. – Canada’s Investment Company

      Aug 2017 - Feb 2018
      New Accounts Administator

      • Review and process registered, non-register, managed and high net worth client accounts in accordance to regulatory requirements.• Communicate with Advisors team verbally and in writing regarding any issues and policies • In-depth knowledge of self directed, managed RRSP, TFSA, RESP, LIF, RIF and non-registered margin accounts.• Responsible for finding solutions to better service Advisor team. • Strong eyes on detailed documentations and Lifting restrictions for trading purposes. Show less

    • RBC

      Feb 2018 - Dec 2018
      Investment Representative

    • TD

      Dec 2018 - now

      • Private Banker at TD Wealth Private Banking

        Feb 2023 - now

      • Assistant Branch Manager

        Aug 2021 - Mar 2023

      • Financial Advisor

        Dec 2018 - Aug 2021

  • Licenses & Certifications

    • Canadian Securities Course

      Canadian Securities Institute (CSI)

    • Branch Compliance Officer (BCO)

      Canadian Securities Institute
      Jun 2021

    • Conduct and Practices Handbook

      Canadian Securities Institute (CSI)

    • Investment Funds in Canada

      Canadian Securities Institute (CSI)

    • Certificate in Financial Sevice Advice

      Canadian Securities Institute (CSI)
      Jan 2020
      View certificate certificate

    • Financial Planning - I

      Canadian Securities Institute (CSI)
      Jan 2020