Assist Financial Advisors in various phases of financial services.  Maintain client satisfaction and actively assist in marketing campaigns and seminars to further develop and enhance the Financial Advisors’ business.


  • Facilitate trades in Financial Advisor(s) absence
  • Assist in marketing campaigns and seminars
  • Research and respond to client inquiries
  • Maintain strong relationship with client base and identify service solutions that support client needs
  • Conduct client outreach
  • Ability to recognize potential sales or service opportunities
  • Ability to prepare presentations
  • General administrative duties
  • Advanced Word, Excel, PowerPoint and Internet knowledge
  • Participate in branch product meetings to gain product knowledge
  • Firm requirements for continuing education for registered persons
  • Perform daily operations, client service, and Financial Advisor support
  • Provide account information to clients and Financial Advisors
  • Learn the business and products in order to assist Financial Advisors
  • Clerical duties such as handling telephones, mailing, filing and processing forms


Education and/or Experience

10 or more years industry experience

Licenses and Registrations

  • Parallel registration with the supporting FA.
  • S7 General Securities Representative Exam
  • S31 Futures Managed Funds Exam
  • S63 Uniform Securities Agent State Law Exam
  • S65 Uniform Investment Advisor Exam
  • S66 Uniform Combined State Law/Investment Advisor Exam


  • Outstanding client rapport-building skills and relationship management skills
  • Strong computer skills
  • Role model for Client Service Associates
  • Assist branch operations with client inquiries
  • Non-exempt position

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