Summary
Overview
Work History
Education
Skills
Accomplishments
Certification
Timeline
Generic

Nicholas Katherina

Landisville

Summary

Motivated Investment Consultant with experience advising clients on investment strategies, retirement planning and financial planning. Strong background in understanding financial markets, financial products and risk management. Proven track record in helping clients meet financial goals through sound advice and effective portfolio management.

Overview

17
17
years of professional experience
1
1
Certification

Work History

Investment Consultant

Charles Schwab & Co
09.2024 - Current
  • Met and collaborated with existing and prospective clients to ascertain financial goals and provide recommendations on investment solutions.
  • Researched current economic trends and investment opportunities to stay abreast of financial markets.
  • Devised comprehensive financial plans for clients to achieve short and long-term financial goals.
  • Advised clients on investments, retirement and estate planning.
  • Educated clients on potential risks and rewards associated with various investments.
  • Developed and maintained strong relationships with clients to maximize satisfaction.
  • Analyzed financial needs of clients and developed tailored strategies to meet goals.

Registered Client Service Associate

Morgan Stanley, Wealth Management
08.2022 - 08.2024


  • Assisted in conducting due diligence reviews on prospective investments or products before making recommendations to advisors or clients.
  • Provided exceptional customer service through clear communication and active listening, resolving issues quickly and professionally.
  • Expedited the preparation of client meetings by gathering relevant materials ahead of time, facilitating smooth interactions between advisors and their clients.
  • Participated in ongoing professional development opportunities such as workshops or conferences to stay abreast of industry developments while continually improving skills set.
  • Streamlined office operations for better efficiency, managing calendars and scheduling appointments.
  • Enhanced overall portfolio performance through diligent monitoring of individual investments based on specific criteria established during strategy development sessions.
  • Provided back-up support to other team members during peak periods or absences, ensuring seamless service delivery to clients.
  • Increased client retention rate by proactively monitoring accounts for potential issues, contacting clients when necessary.

Licensed Relationship Banker

Wells Fargo & Company
04.2018 - 08.2022
  • Managed risk effectively by verifying customer information, analyzing credit reports, and conducting proper due diligence before approving transactions.
  • Enhanced customer satisfaction by promptly addressing inquiries and providing tailored financial solutions.
  • Collaborated with branch team members to meet monthly targets, enhancing overall branch performance.
  • Developed strong client relationships through consistent follow-ups and personalized banking advice.
  • Participated in community events to promote bank services while fostering positive relationships with local businesses and organizations.
  • Increased loan portfolio growth by identifying potential borrowers and effectively presenting loan options.
  • Provided exceptional service to high net worth clients, building trust and fostering long-term relationships.
  • Ensured regulatory compliance by accurately completing documentation and adhering to bank policies.
  • Promoted digital banking services to enhance customer convenience and drive adoption rates.
  • Strengthened referral partnerships with business lines across the bank to maximize cross-selling potential.
  • Exceeded personal sales goals consistently, contributing significantly towards the branch''s overall success.

General Manager

Footlocker Inc.
04.2008 - 04.2018
  • Managed budget implementations, employee reviews, training, schedules, and contract negotiations.
  • Maximized efficiency by coaching and mentoring personnel on management principles, industry practices, company procedures, and technology systems.
  • Drove year-over-year business growth while leading operations, strategic vision, and long-range planning.
  • Increased overall company efficiency by streamlining operations and implementing innovative managerial strategies.
  • Directed comprehensive sales efforts to exceed revenue targets consistently while maintaining customer satisfaction levels.
  • Implemented robust inventory management systems to optimize stock levels and minimize waste/costs associated with excess product storage.
  • Managed a diverse team of professionals, fostering a positive work environment and high employee satisfaction.
  • Developed and implemented strategies to increase sales and profitability.
  • Cultivated strong relationships with clients, vendors, and partners to ensure long-term success and loyalty.

Education

High School Diploma -

Coatesville Area Senior High School

Skills

  • Time Management
  • Empathy and patience
  • Team Collaboration
  • Organizational proficiency
  • Goal-oriented mindset
  • Product Knowledge
  • Networking and relationship building
  • Regulatory Compliance Awareness
  • Client documentation processing
  • Portfolio Management Familiarity
  • Investment strategy understanding

Accomplishments

  • Achieved #1 sales $ growth in the region, as well as the company 2 years in a row while managing a flag ship Footlocker location in the years of 2016 & 2017.
  • Achieved #1 sales % growth for 2 years in a row in the years of 2016 & 2017.
  • Awarded Wells Fargo's Golden Spoke Award - The company's most prestigious award designation.
  • Awarded & named in the Vista Millennial Superstars 40-Under-40 for the year of 2021.

Certification

  • Series 7
  • Series 66
  • PA Life Insurance Producer
  • Series 9


Timeline

Investment Consultant

Charles Schwab & Co
09.2024 - Current

Registered Client Service Associate

Morgan Stanley, Wealth Management
08.2022 - 08.2024

Licensed Relationship Banker

Wells Fargo & Company
04.2018 - 08.2022

General Manager

Footlocker Inc.
04.2008 - 04.2018

High School Diploma -

Coatesville Area Senior High School

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