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Financial Advisor Assistant Resume Samples
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0-5 years of experience
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
0-5 years of experience
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
0-5 years of experience
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
0-5 years of experience
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.
0-5 years of experience
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
0-5 years of experience
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
0-5 years of experience
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.
0-5 years of experience
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.
0-5 years of experience
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.
0-5 years of experience
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
0-5 years of experience
Involved in the entire sales process from cold calling and qualifying to closing and management of accounts.
- Consulted with individuals, families, and companies to offer additional financial services, specifically 401k strategy and investment plans
- Collected information from qualified individuals to provide to private wealth managers & financial advisors with Morgan Stanley Smith Barney, Merrill Lynch and United Bank of Switzerland
- Provided recruiting services for companies such as Verizon Wireless, Raytheon, and Accenture
0-5 years of experience
Greeted clients upon arrival, adhered to rules and regulation required by Advisors.
- Answered inbound calls, handled client inquiries and transferred to appropriate Advisor
- Supported management team with high knowledge of financial and investment services.
- Demonstrated strong typing skills proficiency with Microsoft Word and Excel.
- Sorted daily incoming mail efficiently and maintained files to ensure Advisor’s requirements.
0-5 years of experience
- Mediated between financial advisors and clients, informed hundreds of clients about the new changes to their portfolios
- Prepared three customers’ investment portfolios, seven companies’ seminars, and five clients’ presentations
- Observed interviewing and sales techniques and practiced sales skills with ten prospective clients
- Assisted headquarters relationship manager; organized, reclassified, and updated clients’ information
- Analyzed and planned cross-departmental financial strategies to meet five customers’ goals
0-5 years of experience
- Analyzed and revised client database to improve marketing strategy
- Contributed to financial advisor attaining 20% personal growth rate due to marketing efforts
- Prepared financial summaries for clients with multiple retirement accounts
- Gathered and analyzed independent mutual fund and stock rankings for client meetings
0-5 years of experience
- Assisted in managing $300 Million in assets
- Summarized economic factors for investment managers and clients via presentations and handouts
- Constructed investment portfolios using an asset allocation strategy for various risk tolerance levels
- Input and analyzed financial plans for retail and corporate clients
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Financial Advisor Assistant
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.
