Financial Advisor Assistant resume samples1
Transitioned from assisting Seattle corporate offices in designing & implementing new business processes for acquiring individual and corporate clients, (which resulted in higher insurance & investment sales by $6,000 a month), to assisting in a private, Platinum level investment firm.
- Assisted individual & groups of advisors in new client acquisition, marketing research for business growth & account & client management
- Managed all Advisor calendars for client meetings, sales strategy reviews & business travel needs.
- Produced and followed through on implementation of marketing projects that increased number of clients by 5 new investment & financial planning clients per month
- Enhanced business sales and productivity significantly by directly improving client service and bringing on a total of 50 new clients per year
- Planned & implemented marketing events to acquire new candidates for planning & investment needs through partnering with local business such as Tully's Coffee, in turn bringing on 10 new private & commercial business candidates per week.
- Maintained all relevant compliance records in accordance with strict NASD rules & regulations
Managed client relations throughout the Southeast executing and delivering customer service, which resulted in effectively functioning security products
- Partnered with my clients to resolve any customer service and security issues, which resulted in an 85% customer support rate at the completion of my assignment
- Developed and executed a process and procedures manual for my client base, which created autonomy for my clients
- Created a process to properly and effectively correspond with my clients
Analyzed annuity, bonds, mutual funds, and insurance to prepare marketing campaign materials
- Researched and investigated available investment opportunities to fit into financial plans
- Explained and documented for clients the types of products and services that are to be provided
- Administered client interview and follow-up activities, including feedback procedures and referencing
- Assisted in obtaining prospect information and prepare forms or agreements to complete sales
- Provided banking service which related to the sales to the clients
- Built and maintained client bases, keeping current client plans up-to-date and recruiting new clients on an ongoing basis
Demonstrated to licensed bankers how to raise their monthly investments in a way where it increased the branches monthly average from nine hundred thousand to three million.
- Showed licensed bankers of the branch that a client will bring their depository balances to an institution that holds their investments for conveniences and in turn, increased the branches monthly deposit balances growth by a half million dollars.
- Managed client relationships and helped clients access and achieve their current and future financial goals.
- Created well diversified portfolios specifically tailored to each individual.
- Utilized firm resources to provide education and sound financial advice to clients.
- Provided operations support for Financial Advisors by opening client accounts, conducting asset transfers, processing distributions from both taxable and retirement accounts and fulfilling cashiering responsibilities.
- Assisted in answering telephone calls and enhancing client relationships through processing timely
Evaluated and presented investment opportunities including model portfolio and tactical strategies
using quantitative and qualitative analysis
- Monitored and reported security performance of holdings by incorporating sector allocation
- Developed templates to monitor securities and analyze comprehensive asset allocation and cash
- Prepared visual map of clients' estate and wealth transfer plans
- Demonstrated excellent client service and business development practices
Prepared, analyzed, and reviewed performance reports for financial representatives on clients' investment accounts
- Drafted periodic correspondence letters, memos for potential investors and investment corporations
- Created and managed multiple NAF accounts totaling over $1 million for clients' portfolio
- Calculated individuals' total investment earnings or balance for financial disclosures to IRS or other agency
- Allocated assets into appropriate financial plan to meet client's goals
- Researched businesses for financial advisor to report on investors' unclaimed stocks
- Verified on NetX360 investment platform that beneficiaries are listed under policyholders' investments to avoid taxation
- Scheduled consultations and maintained multiple professional calendars for financial representatives
Assistant for two financial advisors
- Analyzed financial reports, income and miscellaneous documents to advise customers into proper product placement
- Increased revenue 19% (17.2 Million)
- Developed firm relationships with clients and external business partners to increase production
- Gathered, reviewed all customer documentation pertaining to investment product selection.
Assisted a team of three financial advisors with their client base while providing superior interpersonal, organizational and client service skills.
- Processed time sensitive financial and legal documents.
- Researched rules and regulations of financial markets, provided information to others utilizing judgment and the interpretation of policies and procedures.
- Prepared a wide variety memoranda, legal documents, and other items as delegated from brief instructions and rough drafts using applicable software programs.
- Tracked and reported on client transactions.
- Performed general administrative duties.
Held key responsibility in this financial firm company for helping retirees and pre-retirees to a comfortable financial solution to their retirement.
- Reviewed company compliance with all applicable laws and procedures.
- Coordinated small seminars with marketing team to help promote our brand and meet potential clients.
- Maintained all accounting books for the year with semi-annual cost and budget reports to help forecast current and future years.
- Created Ad-Hoc reports to various seminar locations concerning attendee count for marketing purposes.
Served as Project Manager for Financial Advisor's weekly networking group
- Complied and maintained prospect database of over 3000 clients
- Assisted customers with selection of various accounts and Investment services.
- Worked closely with the Financial Advisor to develop appropriate financial plans for clients
- Reconciled billing issues and adjusted asset allocation for clients
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