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Financial Advisor Resume Samples
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6-10 years of experience
Fully licensed Financial Advisor providing retirement planning, investment advice, estate planning, tax strategies, and support for highly successful practice.
- Executed all trades, wrote plans and managed internal systems for practice serving over 200 high value clients and over $250M AUM.
- Increased client satisfaction rating from 88 to 99 by providing fantastic, personalized service to every client.
- Increased AUM 91% without increasing staff.
- Created and implemented internal systems to streamline customer service, office management and compliance.
- Partnered with both the parent company and external professionals to meet client’s financial goals and objectives.
0-5 years of experience
Managed investment portfolios for more than 400 clients with over $17 million in assets under care.
- Conducted equity research on companies to discover undervalued investments with reasonable prospects for long term sustainable growth.
- Coordinated portfolio reviews with clients to regularly evaluate an investment’s performance toward achieving documented long-term financial goals.
- Presented investment and financial planning seminars to clients and prospective clients.
- Generated new clients using a personal, face-to-face approach that built trust and emphasized personal service to the individual investor.
- Identified clients and prospective clients in need of investment guidance and then recommended investment solutions appropriate for each individual.
- Managed an office environment by collaborating with an assistant to ensure a functioning office.
0-5 years of experience
The worldwide leader in construction markets with an annual business volume over $42 billion.
- Prepared an Excel based financial forecast for a $60 million green-field industrial project.
- Developed several business scenarios in order to identify and monitor key business drivers and risks.
- Worked cross-functionally in order to complete an implementation of SAP-based Business Intelligence (BI) system.
- In cooperation with the SAP BEx BI implementation team designed templates of internal financial reports and dashboards for operational departments, in order to monitor daily financial activities of these departments that resulted in an increased revenues from direct sales by 30% over a 2-year period.
- Developed and successfully implemented financial policies and procedures that resulted in approximately 95% of financial data coming from operational departments as standard, normalized and structured for the further analysis.
- Supported the transition of management reporting from an IT dependent platform to Analysis for Office (AFO), that enabled internal users to create ad hoc analytics in an Excel pivot table front end.
- As a business coach successfully completed end user application training.
- Performed ad hoc queries, data extracts and various data analysis using SQL queries and Excel based pivot tables.
0-5 years of experience
Obtained the Series 7, Series 63, and Minnesota Life Accident and Health Licensures
- Developed professional relationships with nearly 300 clients while advising a total of $50 million in assets
- Successfully produced $150,000 Gross Dealer Concession (GDC) within a year
- Recognized as a first-year top achiever and was presented with the Black Diamond Award for top financial plan sales
0-5 years of experience
Obtained Series 7, Series 66 and General lines – Life, Accident, Health and HMO licenses to become fully registered.
- Developed new and efficient processes to inputting and executing trading in client accounts and many tasks for the team.
- Managed and trained supporting staff including Client Associates and other Financial Advisors.
- Served as lead coordinator and liaison between the advisory team and our 401(k) clients.
- Communicated weekly portfolio updates to the senior portfolio manager for implementation in client accounts.
- Assisted in the development of a methodology to track the team’s proprietary investment process and business management metrics.
- Operated a number of state-of-the-art wealth management software programs such as Thompson One and client relationship software such as Salesforce.
0-5 years of experience
Generated new client business of $6 million in potential new assets ($1 million currently invested).
- Presented Unique Value Proposition to High Net Worth (HNW) executives of New York Metro area Fortune 100 companies.
- Booked 5-10 prospect meetings per week through cold calling (80-100 dials per day).
- Gathered prospect financial data and developed comprehensive financial plans using Financial Goal Analysis tool.
- Graduated from 12-week UBS Wealth Management New Financial Advisor Development Program featuring coursework, assessments, and capstone training at Weehawken, NJ headquarters.
- Passed Series 7 and 66 regulatory exams with scores of 82% and 83%, respectively.
0-5 years of experience
Interviewed clients to determine current income, expenses, insurance coverage, tax status, financial objectives, risk tolerance and other information needed to develop a financial plan.
- Profiled and analyzed investment products to develop customized financial strategies for clients’ financial needs.
- 12-Week Year Business Plan Instructor responsible for training agents on business plan development.
- Mentored new team members on applying due diligence procedures, life and disability insurance solutions.
- Answered clients’ questions about the purposes and details of financial plans and strategies.
- Explained and documented for clients the types of services to be provided, and the responsibilities to be taken by the personal financial advisor.
- Sold financial products including life and disability insurances, college funding and retirement instruments.
0-5 years of experience
Achieved First Year production goal in 8 months
- Recognized every year at PMD Awards Dinner
- Managed $30million dollars in annuity book in First Year of production
- Effectively source prospective clients
- Maintained and cultivated relationships with Merrill Lynch clients
- Recommended investing products and services that are suitable for clients
- Identified banking and lending solutions for clients
0-5 years of experience
Identified and developed portfolio solutions including customized investment management programs or built portfolios through open architecture.
- Formulated asset allocation strategies and developed proprietary investment models for client portfolios.
- Presented Strategic alternative for current assets and lending services in addition to qualified plan solutions and corporate plans.
- Conducted comprehensive portfolio reviews to reevaluate objectives and projected portfolio performance.
- Assisted clients in taking full advantage of brokerage/banking solutions to deepen the relationship and offer better client satisfaction.
- Advised clients quarterly and annually on portfolio performance ensuring clients needs aligned with projected results.
0-5 years of experience
Obtained my Series 7 & 66 licenses for Texas and other states. Renewed and maintain my General Lines Insurance License.
- Communicated with over 200 existing clients to ensure they were satisfied with their existing investments. Recommended changes as needed to maintain a healthy portfolio.
- Prospected for new clients through face to face contacts in the community, phone calls and referrals.
- Researched, created and presented investment presentations.
- Earned 2 Triple Crown Awards for surpassing company goals.
0-5 years of experience
- Exceeded new money goals by 25%, bringing in over $20MM of assets during 2012 and 2013, while opening 140 new accounts.
- Delivered value for clients by increasing efficiency of investments using quantitative analysis to maximize Sharpe Ratio and Alpha. While modeling and back testing hypothetical portfolios with Monte Carlo simulation.
- Developed tailored solutions and actionable ideas through market research; focusing on energy sector asset classes and MLPs.
- Presented and sold complex financial solutions to both experienced and non experienced investors.
0-5 years of experience
- Collaborated in a financial advisor partnership managing client assets of over $140,000,000.
- Jointly responsible for doubling the team’s production within less than two years.
- Researched and developed financial plans customized for prospective and current clients.
- Developed client relationships, coordinated and presented portfolio reviews with prospective/ current clients.
- Implemented portfolio plans, actively monitored market conditions, and made recommendations to clients.
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Last edited by: Gabriela Barcenas, CPRW, Content Writer II -
Gabriela Barcenas
CPRW, Content Writer IIGabriela is a Certified Professional Resume Writer (CPRW) and career adviser. With 10 years of digital media experience and five years of resume writing expertise, her publication history includes fashion, education, travel, social justice, equitable design and career advice.
