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Provide investment advice, portfolio analysis, and trade execution.
Recommend investment plans aligned with client goals.
Conduct periodic client reviews and adjust portfolios as needed.
Prioritize client interests and cross-sell bank products when appropriate.
Build and maintain relationships through networking and community involvement.
Participate in the referral program and follow up on leads.
Maintain expertise in financial markets and use research tools.
Ensure compliance with all regulatory and company policies.
Manage client records and branch office files.
Document client communications and assign tasks via Redtail.
Attend sales meetings and collaborate with bank branches.
Perform other duties as assigned.
Be technically proficient with required software platforms; broker dealer system, contact management system, banking core system and financial planning tools
Assist clients with basic banking inquiries related to brokerage/advisory accounts
Bachelor’s Degree in a Business discipline
3 - 5 years Brokerage experience required
Series 7, Series 63 & 65 or 66 Licenses required.Â
Life and Health insurance licenses
Certified Financial Planner designation highly recommended
Strong desire to succeed in a highly competitive industry
Exceptional listening skills
Exceptional customer-service attitude with strong client relation skills
Ability to communicate effectively with individuals or groups
Strong PC skills
Self-starter – initiative to begin projects independently
Effective oral & written communication skills
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