Essential Duties and Responsibilities
• Partners with Financial Advisor to review clients’ current portfolio design, understand client goals, enter client data, and conduct financial analysis.
• Evaluates overall individual and employer-based retirement needs, researches various options, and recommends planning alternatives.
• Researches and provides recommendations related to risk management concerns, including
• Designs and recommends a tailored financial analysis or comprehensive financial plan for clients and prospects that meets their short and long-term financial needs and goals.
• Prepares presentations that clearly communicate the recommendations and alternatives related to the client’s financial analysis and comprehensive plan design.
• Performs detailed document reviews; analyzes client information and situations across the
financial planning spectrum to develop plan.
• Researches information as necessary on a case-by-case basis and writes customized financial
plan observations and recommendations for each client case.
• Prepares files for meetings with existing and new clients.
• Prepares, coordinates and follows through on any needed communication with new or existing
• Continuously monitors clients’ financial situations with detail and accuracy, with the ability to the look at their overall financial picture.
• Responds to client questions by telephone, email and occasional personal visits.
• Educates client on the functions of various securities markets and the principal factors that affect them.
• Provides guidance on estate planning options and techniques.
• Responds to and directs education funding questions including 529 savings plans.
• Assists with guidance on small business planning.
• Conducts research as needed related to assigned client cases, including but not limited to basic
income tax questions and other legal issues requesting guidance when appropriate.
• May participate in client presentations.
• May open, transfer, and close customer accounts and maintain appropriate account records.
• May obtain and verify the client’s purchase and sale instructions, enter orders, and follow up on
completion of transactions.
• Ensures firm and regulatory policies are followed within compliance standards.
• Perform other duties and responsibilities as assigned.