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Responsibilities

+ PartnerswithFinancialAdvisortoreviewclients’currentportfoliodesign,understandclient goals, enter client data, and conduct financialanalysis.

+ Evaluatesoverallindividualandemployer-basedretirementneeds,researchesvarious options, and recommends planningalternatives.

+ Researchesandprovidesrecommendationsrelatedtoriskmanagementconcerns,including insurance.

+ Designsandrecommendsatailoredfinancialanalysisorcomprehensivefinancialplanfor clients and prospects that meets their short and long-term financial needs andgoals.

+ Preparespresentationsthatclearlycommunicatetherecommendationsandalternatives related to the client’s financial analysis and comprehensive plandesign.

+ Performsdetaileddocumentreviews;analyzesclientinformationandsituationsacrossthe financial planning spectrum to developplan

+ Researchesinformationasnecessaryonacase-by-casebasisandwritescustomized financial plan observations and recommendations for each clientcase

+ Prepares files for meetings with existing and newclients

+ Prepares,coordinatesandfollowsthroughonanyneededcommunicationwithnewor existingclients

+ Continuouslymonitorsclients’financialsituationswithdetailandaccuracy,withtheabilityto the look at their overall financialpicture

+ Responds to client questions by telephone, email and occasional personalvisits.

+ Educatesclientonthefunctionsofvarioussecuritiesmarketsandtheprincipalfactorsthat affect them.

+ Provides guidance on estate planning options andtechniques.

+ Responds to and directs education funding questions including 529 savingsplans.

+ Assists with guidance on small businessplanning.

+ Conductsresearchasneededrelatedtoassignedclientcases,includingbutnotlimitedto basicincometaxquestionsandotherlegalissuesrequestingguidancewhenappropriate.

+ May participate in clientpresentations.

+ May open, transfer, and close customer accounts and maintain appropriate accountrecords.

+ May obtain and verify the client’s purchase and sale instructions, enter orders, and follow up on completion oftransactions.

+ Ensures firm and regulatory policies are followed within compliancestandards

+ Perform other duties and responsibilities asassigned.

Education/Experience Requirements

+ Bachelor’s degree in a related field and three years’ experience in the financial services industry with an emphasis onfinancial, retirement and estate planning field or in marketing these services

~or~

+ An equivalent combination of experience, education and/or training as approved by Human Resources

Licenses

+ SIE required provided that an exemption or grandfatheringcannot beapplied

+ Series7

+ Series 63, 65 and/or66 as required by state or ability to obtain within sixmonths