Financial Advisor
Core
Managing existing and prospective clients by delivering personalized financial advice, investment strategies, and wealth solutions to the mass affluent segment.
Role type
Financial Advisor (Mass Affluent)
Builds
Individualized financial plans and investment solutions
Domain
Banking and Wealth Management
Required skills
consultative sales, risk assessment, financial planning, regulatory compliance, trade order processing, community engagement
Preferred skills
up-selling, cross-selling, organizing client events, regional travel
Technologies
SIE, Series 7, Series 66, Series 63, Series 65
Responsibilities
Contact clients to assess investment needs and develop action plans; Use consultative sales process to propose investment solutions; Develop individualized financial plans aligned to client objectives; Ensure accurate completion of paperwork in compliance with fiduciary standards; Receive and process trade orders and money movement instructions; Participate in community affairs to enhance business opportunities; Travel to meet clients at Financial Centers or their offices.