Lionel Kiki
@lionelkiki
Detail-oriented financial professional with expertise in wealth management.
United StatesWhat I'm looking for
I am a dedicated financial professional with a strong background in wealth management and client relations. My experience spans various roles, including Registered Client Associate and Private Wealth Associate, where I have successfully managed substantial client assets and fostered long-term relationships. I pride myself on my ability to deliver tailored investment solutions that align with individual client goals, enhancing their financial well-being.
Throughout my career, I have consistently driven business growth by leveraging data-driven insights and strategic planning. My tenure at firms like D.A. Davidson and UBS has equipped me with a deep understanding of financial markets and client needs. I have a proven track record of increasing client assets and improving operational efficiency through meticulous analysis and proactive communication.
With certifications in Series 7 and 66, along with my Accredited Wealth Management AdvisorSM designation, I am committed to providing high-quality service and innovative financial strategies. I am eager to continue my professional journey in a dynamic environment that values client-centric approaches and fosters growth.
Experience
Work history, roles, and key accomplishments
Registered Client Associate
D.A. Davidson Co.
Feb 2025 - Present (7 months)
Monitored CD and UIT maturities using structured Excel workflows, facilitating timely trade execution of $400K quarterly and enhancing portfolio efficiency while reducing execution risk for client accounts. Created customized investment proposals using Envestnet and Thomson ONE using tailored, data-driven portfolio recommendations aligned with individual client goals and risk tolerance.
Private Wealth Associate
Bernstein Private Wealth Management
Apr 2024 - Aug 2024 (4 months)
Supported six Financial Advisors by providing in-depth portfolio analysis, reporting, business strategy, transaction processing, and client service to drive business growth. Managed onboarding and servicing of $140M+ in client assets, fostering client trust and aligning service delivery with personalized wealth management and long-term growth objectives.
Investment Solutions Representative
Fidelity Investments
Jul 2023 - Mar 2024 (8 months)
Delivered tailored investment guidance within a wealth management framework, leveraging financial planning tools and data-driven insights to align client goals with appropriate products, research, and advisory services. Analyzed and positioned investment solutions including mutual funds, fixed income products, and discretionary portfolios to support client objectives and contribute to a 37% increa
Wealth Planning Associate
UBS Private Wealth Management (WM)
Aug 2021 - Mar 2023 (1 year 7 months)
Collaborated with Financial Advisors to develop and present customized, goal-based financial plans for Ultra High Net Worth (UHNW) clients and prospects ($5M+), contributing to over $50M in Net New Money. Created strategic business plans targeting high-value individuals and families, supporting client acquisition efforts for advisor teams across the West Coast market.
Know Your Customer (KYC) Analyst
UBS
Mar 2020 - Jul 2021 (1 year 4 months)
Utilized subject matter expertise of applicable anti-money laundering laws and regulations, and supported the Front Office by providing guidance on KYC compliance requirements. Ensured client vetting data and document processing complied with regulations, guidelines, standards and UBS policies for all new accounts.
Banking Analyst
UBS
Aug 2019 - Mar 2020 (7 months)
Analyzed financial data and client portfolios to assess creditworthiness, evaluate risk exposure, and support credit decision-making. Prepared detailed reports on deposit flows, credit risk indicators, and account statuses for senior leadership, improving transparency and operational efficiency.
Education
Degrees, certifications, and relevant coursework
Skidmore College
Bachelor's Degree, Business Management
Studied Business Management at Skidmore College. Gained foundational knowledge in business principles and practices relevant to the financial industry.
Availability
Location
United StatesAuthorized to work in
Job categories
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