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Financial Advisor Assistant resume samples


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

    service requests.


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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Category: Advisor

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