Entry-level advisor with Series 65, primarily supporting Senior Advisor(s), learning client management and beginning to develop new business skills. 

General Support

• Works with clients, under the supervision of senior advisor to obtain information and prepare risk profiles and investment policy statements.

• Answer client emails the same day they are sent if within normal operating hours, and Associate Advisors diligently track their emails and phone calls with clients.

• Prepares and updates financial plans, working with clients to obtain the necessary information and ensuring that it is accurately entered into the firm’s financial planning systems i,e. client portal. 

• Account Management. Examples of account management include within the custodian platform; opening an account, updating account information, transferring money, and managing beneficiaries. 

•  Coordinates the transfer of client assets to the firm during new client onboarding, working closely with operations. Conducts rollover calls independently with clients. 

• Responsible for reviewing and updating accounts and contact information in the risk tolerance program, performance reporting program, and client portal.