Nick Pamintuan

Experience

• Client Service Specialist IIICurrent

  Stratos Private Wealth · San Diego, California, United States

  May 2024 – Present

  Deliver premier, white-glove client service to the firm’s top 20 clients, collectively overseeing $1.5 billion in assets under management (AUM). Act as the primary point of contact for 350+ high-net-worth clients, ensuring prompt and personalized service while resolving inquiries and addressing complex financial needs. Execute and fulfill 10+ time-sensitive client requests daily, coordinating with internal departments, custodians, and external investment managers to achieve seamless outcomes. Spearhead a successful custodian migration project, transferring over 350 client households from LPL to Fidelity, resulting in enhanced operational efficiency and improved client experience. Oversee trading operations, encompassing portfolio rebalancing and liquidation, ensuring the execution of move money transactions with optimal efficiency. Demonstrate expertise in new account opening processes, specializing in Alternatives, Alternative Income, Fixed Income investments, and Separately Managed Accounts (SMAs). Develop and document new processes and procedures, creating comprehensive knowledge articles and training guides to answer frequently asked questions and facilitate seamless onboarding for new team members. Proactively handle daily trading requests, ensuring accuracy and adherence to client instructions and compliance regulations.

• Operations Specialist

  LPL Financial · San Diego, California, United States

  Feb 2020 – May 2022

  Precisely manage check printing process to accurately print and package 1000+ checks daily Lead training sessions to train employees and new hires of the teams day-to-day responsibilities Review over 80 accounts daily with 100% accuracy to assure quality, identify potential risk, and escalate suspicious activity Work primarily under the guidelines of FINRA/OFAC/AML Act as a SME by keeping up to date with new processes, and controls