Joshua Kaufman

2022 Alberta Ave

Linden, NJ 07036
848-565-1729
joshua29@optonline.net

Summary of Qualifications
Customer service professional with a commitment to superior business results and teamwork. Field of
experience gained in various industries. Areas of expertise include management, sales, and superior
customer service. Strengths include strong interpersonal, verbal and written communication skills, excellent
follow-up detail and proven performance in a fast-paced environment.

Work Experience
Merrill Lynch, Jacksonville, FL 2003 – 2009
Project Manager, Product Development (2008 – 2009)
Financial Data Services
Served as liaison between tech support and the rest of the Financial Data Services Department for all
computer program based issues.
• Managed reporting and auditing for employee use and authorization level for each computer
program
• Met weekly with the Product Development Team to discuss any issues from the previous week and
their immediate impact on the business
• Reported out on the number of users for each program and received signoff authorization from the
appropriate business owner
• Maintained and updated the names and numbers for each department in FDS, and kept a record of
all ongoing projects
• Responsible for updating and allowing or removing access to programs for new hires or termed
employees

Supervisor, Annuity Phone Services (2006 – 2008)

Merrill Lynch Insurance Group Services (MLIGS)
Responsible for training and oversight of phone teams that answer incoming calls from clients, financial
advisors, and client associates for both proprietary and nonproprietary annuities.
• Oversaw the Series 6,7 63, and 66 licensing of multiple individuals in 2007 & 2008
• Revised and updated Statement of Understanding Document and Employee and Supervisor
Resource Guides for Series 6/63 and 7/66 registration
• Handled a variety of escalated issues including clientele with high net worth’s that required me to
partner with management in other departments to resolve issues
• Teams maintained target Service Levels over 90% of the time
• Received Honorable Mention for outstanding performance in 4th quarter 07
• Assisted in transition from MLIGS to Aegon through participation of daily meetings, and initiation of
procedural changes, and keeping up morale

Retirement Education Specialist (2005 – 2006)

Retirement Group (RG)
Educate participants of employer-sponsored plans on ERISA and IRS regulations and distribution options
while recommending appropriate Merrill Lynch products and services.
• Retained over $40 million in Merrill Lynch Individual Retirement Account assets and another $20
million to stay in 401(k) accounts since September 2005
• Finished in highest percentile of Florida and New Jersey call centers for account funding for last 12
quarters
• Received “Bull Award” in June 2006 for supporting high call volumes above and beyond average
responsibility
• Assisted in training department members with guidelines for new plan rollouts and acted as mentor for
new employees
• Acted as liaison between my department and other departments and financial advisors

1
Senior Associate (2003 – 2005)
Retirement Group (RG)
Provided exemplary customer service for national 401(k) plans while processing plan enrollments and
financial transactions.
• Resolved account inquiries to ensure customer satisfaction and improve client retention
• Completed training course in all 401(k) plans and products
• Received multiple awards of acknowledgement and recognition for superior service and productivity
such as call to action and participant compliments via email and phone
• Acted as a specialist and subject matter expert for a variety of Merrill Lynch 401(k) and retirement
products and services such as self direct brokerage, required minimum distributions, and tax
strategies such as Net Unrealized Appreciation and Substantial Periodic Payments
• Resolved complicated client issues by providing timely call-backs
• Selected by management to relocate from Pennington, NJ to Jacksonville, FL office

Ameritrade/Datek Online Financial Services, LLC, Jersey City, NJ 2000 – 2002

Client Relations Representative
Customer Service Department
Effectively used critical thinking, problem solving skills, patience and courtesy when assisting clients with
their questions and provided follow-up calls or emails when necessary.
• Provided outbound courtesy calls to clients regarding Federal Margin calls
• Worked with the trading desk to place equity and option trades for clients
• Assisted clients with opening new accounts and tax and retirement related information
• Created reports on department productivity and presented to team management
• Hired by upper management as a member of the first overnight team of Client Relations
Representatives

Scott Specialty Gases, South Plainfield, NJ 1999 – 2000

Customer Service Representative
Inside Sales Department
Collaborated on business plan with Internal Sales Representatives and maintained record keeping for all
accounts while processing orders, coordinating shipments and managing client portfolios.
• Oversaw a contracted account for International Papers and provided full cost analysis of purchases
• Pursued the signing of new contracts and handled special terms and requirements of clients’ specific
needs
• Generated $25,000 of new business in one week while covering for the Internal Sales Representative
• Exceeded all sales goals and consistently lead the office in performance numbers

Education
Certificate of Business Administration
Katharine Gibbs Business School, Piscataway, NJ
• Maintained a 3.50 GPA

Skills
• Knowledge of annuities products and services
• 3+ years of 401K code and ERISA requirements and retirement programs
• Strong PC, systems, and software skills
• Excellent written and verbal communication skills
• Strong organizational skills
• Ability to resolve problems accurately and timely

National Association of Securities Dealers (NASD) Licenses

• Series 7 – General Securities Representative – 5/17/2002
• Series 63 – Uniform Securities Agent –6/11/02
• Series 66 – Registered Agent and Investment Advisor – 8/11/04
• Series 24 – General Securities Principal – 8/8/07