Licensed Client Associate
Core
Assists Financial Advisors and Consultants in servicing clients, placing trades, and soliciting appointments to enhance production.
Role type
Licensed Client Associate (Investment Sales Support)
Builds
Client service interactions, trade executions, and sales appointments for brokerage clients.
Domain
Financial Services / Investment Management
Deliverable
client delivery
Required skills
Series 7 license, Series 63 license, Group I license, trade execution, client consultation, sales solicitation, financial product analysis, report generation, travel coordination, document management, Office software proficiency (Word, Excel, Access, PowerPoint), financial planning tools usage.
Preferred skills
Bachelor's degree in Business, Finance, or Marketing.
Technologies
Office software suite, financial planning systems, investment management platforms.
Responsibilities
Provide telephone customer service regarding investments and account changes; place trades per instructions; solicit existing clients for appointments and sales; act as backup for advisors to provide consultation; oversee account documents and submit to operations; gather sales data and produce activity reports; travel to branches to meet clients and discuss financial situations; maintain referral systems and provide feedback; perform analysis of financial products and prepare client presentations.
Seniority
Entry-level to Mid-level, hands-on IC