Financial Advisor

Position title: Financial Advisor

Position Description: 

This role will help to fulfill the company’s mission with a focus on fostering professional relationships with peers and with clients. This position has a responsibility of representing the company in a positive, professional manner.

The Financial Advisor will work with clients regularly to help them track and achieve their financial goals. 

As a Financial Advisor, you will work with an employing franchise owner but meet with clients independently.  You will lead and utilize your skills while building a base of clients which you service.  As an advisor, you will be instrumental in creating and delivering a unique client experience that defines and differentiates the practice. This position will consistently follow high standards of business and professional ethics and legal and regulatory requirements when dealing with others and/or performing work activities. 

Responsibilities and time allocation may change over time to meet the needs of the practice and can include other duties as assigned by the advisor.

• Maintain CRM Notes and Tasks
• Document client contact/calls
• Service client needs daily
• Maintain files and records in accordance with the retention policy
• Determine the client’s risk tolerance and time frame
• Develop portfolio/robust product solution recommendations 
• Develop appropriate product deliverables
• Perform case analysis and develop recommendations
• Collaborate with Client Preparation Coordinator to run illustrations and hypotheticals
• Collaborate with Client Meeting Preparation Coordinator and Client Follow-up Coordinator to process estate settlements
• Execute trades to align with proposed portfolio
• Monitor economy, markets, and world events to determine any required strategic rebalancing
• Identify clients to engage or re-engage in planning relationships
• Enter/update client data into the financial planning tool
• Create planning deliverables
• Conduct ad hoc transactions on behalf of clients
• Conduct regular client meetings in concordance with the practice model to present recommendations and deliver advice
• Encourage clients to act upon advice and recommendations
• Answer questions and provide readily available information to clients, if requested, as it relates to servicing their accounts
• Regularly contact prospects and coordinate with scheduler to setup meetings
• Contribute to the development and execution of an annual marketing plan
• Implement key marketing initiatives such as: leveraging natural market, client referral programs & network marketing with COIs
• Assist/attend seminars and client appreciation events
• Review work methods and procedures for possible quality improvements and efficiencies and implement them when appropriate
• Assign and delegate work and provide feedback, when appropriate, to other planning support staff
• Act as a technical resource and provide training and support to other practice members

Key Traits:

• Strong initiative
• Ability to market to local clients
• Direct attention to detail and organization
• Effective communications and persuasive ability
• Analytical ability, persistence and an entrepreneurial perspective to build a client base
• Ability to adhere to rules and regulations as stated and required by advisor, Ameriprise Financial and regulatory agencies
• Effective and efficient time management
• High level of interpersonal skills
• High level of comprehension 
• Ability to support and provide guidance for compliance
• Positive attitude and sincere willingness to constantly learn and grow
• Honest and ethical in all practice duties
• Completes projects in a timely manner and with a positive attitude
• Actively identifies areas of improvement and ways to achieve better processes
• Works as a team player and actively contributes to team meetings 
• Always treats clients and other team members with respect and participates in resolutions of disputes
• The team member will work in the office but also needs the ability to travel to client’s homes

Education and Other Designations:

• College degree or higher - preferred
• 5+ years of similar experience preferred within an advisory practice
• Must have federal and state licenses and registrations for securities, including Series 7, Series 66, and State life, accident and health insurance licenses