Philip Modi
Investment specialist with CIBC
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Lloydminster, LloydminsterMember since May 1, 2025
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About
Experience
Investment Specialist: CIBC, Lloydminster, SK March 2019 – Present
- Investment Specialist Partners with AFAs and FSRs to add value to meetings where clients require planning and advice to meet their long-term goals.
- Primary focus is on consolidating external assets (new money to CIBC) for core clients and prospects.
- Provide advice via conversation investment tools and portfolio illustrations (including Morningstar, Asset management) to support FSRs with their advice conversations.
- Provide advice regarding pension transfer-in
- Advice Client with more complex investment needs (e.g., education, retirement)
- Work with and build relationships with Centers of influence (COIs-accountants, lawyers, realtors, immigration offices) in the community.
Experience
Experience
Investment Specialist: CIBC, Lloydminster, SK March 2019 – Present
- Investment Specialist Partners with AFAs and FSRs to add value to meetings where clients require planning and advice to meet their long-term goals.
- Primary focus is on consolidating external assets (new money to CIBC) for core clients and prospects.
- Provide advice via conversation investment tools and portfolio illustrations (including Morningstar, Asset management) to support FSRs with their advice conversations.
- Provide advice regarding pension transfer-in
- Advice Client with more complex investment needs (e.g., education, retirement)
- Work with and build relationships with Centers of influence (COIs-accountants, lawyers, realtors, immigration offices) in the community.
- Responsible for ensuring all Investments & loan activities are in compliance with relevant legislation, regulations, policies and procedures.
- Part of Investment Advisors and Portfolio Managers that help affluent and high-net-worth individuals, families, businesses, charities and other organizations achieve their financial goals with a wide range of wealth management and investing solutions.
- Prepare and open new account packages for individual, corporate and trust accounts
- Prepare and complete client documents such as Letters of Authorizations, tax forms, etc.
- Investigate and resolve inquiries related to accounts and refer to the Investment Advisor where appropriate
- Maintain current knowledge of client accounts by reviewing daily activity online and on applicable reports & Follow-up on client queries.
- Responsible for interviewing clients and potential clients and analyzing complex and/or large loan applications, granting and/or recommending loans and cross-selling the full range of Credit products and services.
- Responsible for ensuring all Investments & loan activities are in compliance with relevant legislation, regulations, policies and procedures.
- Responsible for creating exceptional client experience by providing helpful and relevant everyday banking, and more complex investment (such as retirement transition), credit and risk (insurance & estate) advice for clients who typically have increasingly complex needs. Focuses primarily on high-value clients & Small Business clients with credit needs.
- Developed long-term relationships with clients by preparing investment strategies to help them achieve their financial goals, offering advice and information on various investments to guide them in managing their portfolios
- Contributed to organization's client loyalty and sales results by taking ownership of client problems at first point of contact, delivering personalized advice & solutions, anchoring and deepening client relationships.
- Complete credit and loan documentation and approve loans and Mortgages
- Promote the sale of investment products such as mutual funds, Stocks, bonds, GICs, and term deposits.
Education
- Financial Planning II(FPII): June 2024
- Canadian Securities Course (CSC) & Conduct & Practices Handbook Course (CPH): October 2018
- 4th class Power Engineering at Lakeland College: November 2015
- Personal Financial Services Advisor (PFSA): May 2014
- Financial Planning I (FP I): May 2014
- Investment Funds in Canada (IFC): June 2008
- Bachelor of Commerce Degree
