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Financial Advisor Trainee Resume Samples
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0-5 years of experience
Generated over 350 quality leads in seven weeks through making face-to-face contacts and relationship building
- Did basic mutual fund, stock, and bond presentations to new prospects and existing clients
- Passed the Illinois Life & Health Insurance Exams and completed in-house annuity and compliance training
- Identified over $1 million in money dues from new prospects and created suitable investment proposals
- Obtained the FINRA Series 7 General Securities Representative License
- Obtained the NASAA Series 66 Uniform Combined State Law License
0-5 years of experience
Performed detailed financial goal analysis to determine best retirement option
- Proposed and implemented creative solutions that met client’s needs
- Acquired over $ 500k in assets over a 7-month training period
- Built relationships with high-net-worth individuals whose collective assets were in excess of $500M
0-5 years of experience
Completed training rotation program in Operation, Wealth Management and Personal & Corporation Finance
- Participated in the investment evaluation procedures with VIP clients, initiated corporation evaluation reports
- Trained to handle cash receipts, bank settlements, bank reconciliations and ratio & debt covenant analysis
- Made cold calls to CEOs/CFOs of small/medium companies with a 17% successful rate, arranged weekly business
0-5 years of experience
- Quickly learned to deal with successful business owners as clients, leading to an understanding of the demands of today’s business world
- Generated new leads at rate 60% above average by recommending products in line with customers’ investment plans
- Maintained a daily correspondence with upper management, presenting them with quality leads that led to new accounts
0-5 years of experience
- Participated in weekly marketing classes to gain insight into lead generation, networking, and the best practices needed to build a successful advisory business.
- Generated a variety of marketing ideas and successfully recruited local restaurants to partner with on lead generation as part of marketing plan, building a larger number of relationships compared to the average trainee.
- Obtained a 90 on the NASD Series 7 exam, higher than the national average of 73 or the passing score of 71.
0-5 years of experience
- Identified client’s objectives through a personal financial assessment and presentation
- Created and evaluated individual financial profiles for proper consulting
- Developed individualized strategies and implementations based on personal financial assessment
- Reviewed and maintained the plans on a regular basis
- Studied and earned Series 7, 63, and Michigan Life and Accident and Health Insurance Licenses
0-5 years of experience
Mentored by advisor with $78 MM AUM
- Provided research and assisted with daily operations
- Participated in client portfolio reviews and meetings
- Mentored by advisor with $78 MM AUM
- Provided research and assisted with daily operations
- Participated in client portfolio reviews and meetings
0-5 years of experience
- Identified and set appointments with potential clients
- Meet with clients to assess their financial needs
- Developed customized financial plans to address each client’s outlined goals
- Maintain strong relationships with clients, helping them to track their progress
- Conducted presentations on financial education
0-5 years of experience
Series 7 licensed. Possess a strong knowledge of stocks, bonds, options, limited partnerships, Mutual Funds, and ETF’s.
- Worked with an established Financial Advisor Team learning product benefits and relationship management.
- Knowledge of securities markets and laws, including Blue Sky laws, the Securities Act of 1933, the Securities and Exchange Act of 1934, as well as the Investment Company Act of 1940.
- Trained on using Morningstar and Bond Desk for researching and analyzing securities.
- Attended a week-long training session on presentation skills with Wells Fargo University
0-5 years of experience
Developed strategic and trusted long term client relationships, by improving the overall financial position of my clients.
- Developed marketing strategies to target specific market segments, which resulted in a 35% increase in client acquisition.
- Developed Life Insurance, Investment, Retirement, Estate plans to assist individual clients to achieve financial goal in these areas.
- Perform face-to-face financial analysis with potential clients to understand their financial position and uncover selling opportunities.
- Developed Executive benefit, Business Succession plans for my business clients.
0-5 years of experience
Successfully obtained a Series 7, Series 66, and NMLS license
- Supported Senior Financial Advisors with day-to-day operations
- Assisted in certain syndication secondary offerings to clients of Senior Financial Advisors
- Familiarized myself with the various products and services offered by the firm in preparation of prospective client meetings
0-5 years of experience
- Assisted affluent and high net worth clients, developing customized solutions to meet and identify opportunities; which included a comprehensive range of products and services that are offered both internationally and domestically
- Scheduled appointments with confidence; while mentoring the client on the planning process, from situation assessment to plan implementation
- Conducted face-to-face meetings, with the support of my manager, during which you will gather pertinent information and educate clients about fundamental financial issues
- Analyzed and managed clients’ assets and liabilities to enhance net worth
0-5 years of experience
Developed sales and presentation skills through the Financial Advisor Training Program.
- Prospected for new clients by door-to-door introductions in local neighborhoods
- Cultivated relationships by assessing needs and offering appropriate solutions
- Exceeded company goals for new accounts, prospects, and region participation
0-5 years of experience
- Completed certification training while fulfilling other developmental roles within the office
- Provided clients with information on new and existing products and services.
- Gathered assets and generated revenue through a variety of methods, including leveraging relationships, and cold calling.
0-5 years of experience
Obtained securities licenses to be registered with FINRA and NASAA
- Worked one on one with prospective clients in order to identify financial needs
- With needs identified, presented appropriate financial solutions and products
- Developed skills to create personalized, diversified financial solutions
0-5 years of experience
- Reviewed client financial information to determine appropriate investments based on available assets, client risk tolerance and client goals.
- Conducted financial analysis of accounts, managed risk and P/L, and made investment recommendations.
- Conducted technical analysis and trend analysis on supply/demand (resistance/support) zones, sector rotational analysis, fractal analysis, cross-market correlations, and top down/bottom up equity analysis.
- Knowledge of corporate financial statements/filings and news releases regarding financial markets.
0-5 years of experience
Observed client meetings while another advisor discussed client goals and strategies.
- Attended seminars with a local financial advisor who was discussing retirement income distribution.
- Trained with a financial advisor who was able to share real life stories and was provided case studies to think through and ask questions on.
- One on one training with a local financial advisor who shared sales presentations and her solutions based selling approach.
- Attended quality circle lunches with product partners discussing various sales strategies
- One on one training with a branch office administrator to learn about the standard operating procedures and branch efficiencies
0-5 years of experience
Assisted clients with risk management and analysis achieving wealth preservation and accumulation
- Teamed directly with experienced advisors creating client presentations and lead generation
- Created Power Point presentations to be displayed at sales meetings & client meetings
- Worked on spreadsheets that demonstrate the risks and benefits of different mutual fund portfolios
- Acted as direct point of contact for clients
0-5 years of experience
- Established and maintained relationships between high net worth clients and senior financial advisors
- Created investment proposal drafts of financial product portfolios for high net worth clients
- Enrolled in the financial advisor training program for preparation of Series 7, Series 63/66 and insurance licensing
0-5 years of experience
Studied for the Series7 Stockbroker license in order to virtually trade any security
- Developed a detailed business plan that met my target market of investors and performance hurdle goals
- Used Salesforce to scrub lead lists of qualified prospects with a high net worth and 250K in assets
- Designed invitations that met with compliance standards to invite qualified prospects to seminar dinners
- Planned and coordinated retirement seminars at restaurants to educate prospects in regards to their financial needs
- Used Merrill’s email marketing database to send clients newsletters on weekly financial topics
- Attended networking events and became a member of three professional women’s organizations to reach my target market
- Attended weekly advisor training meetings to broaden skill sets, learn from peers and communicate with management
- Used Microsoft Outlook to schedule team meetings, networking events and client appointments
- Attended wholesaler lunch meetings to identify appropriate financial securities that would meet the client’s financial goals
0-5 years of experience
Conducted an independent research on various asset classes (close end funds)
- Intensely learned about capital markets, fixed income, asset management and technical analysis
- Researched different databases for potential clients and investors and the most recent changes and news in the market
- Assisted in production, constructing and reviewing asset allocation models
0-5 years of experience
- Communicated with clients and prepared a Financial Health Check for them in order to figure out their situation and to clarify their goals
- Calculated monthly payment by Excel functions for clients to achieve their retirement lives expense and generated Excel graphs solutions from data to fulfill their goals of establish various funds
- Constructed a portfolio including various of funds, bonds, and stocks to compete with other teams
0-5 years of experience
- Obtained a FINRA Series 6 License and Colorado Life and Health Insurance Licenses
- Provided full administrative and marketing support to advisors
- Scheduled and maintained appointments on Advisor’s calendar
- Proficient in Microsoft Suit applications: Word, Excel, PowerPoint
0-5 years of experience
- Completed two month study program, culminating in successful completion of Series 7 and Series 66
- Responsible for making 25 contacts per day
- Attended all learning academies during training period
- Proposed investments to prospects based on analysis of specific personal situations
0-5 years of experience
- Conducted interviews of prospective employees as a member of the Management Team.
- Provided clients with financial products and services to meet their respective monetary goals.
- Researched market trends and data to better serve clients needs.
0-5 years of experience
- Provided comprehensive financial planning advice for existing and potential clients
- Pitched financial strategies such as tax savings strategies, various investment vehicles, and insurance protection
- Through various trainings, developed and refined sales acumen and learned to communicate effectively with clients
0-5 years of experience
- Determined client financial goals & objectives, analyzed current wealth status, developed & implemented financial solution
- Responsibilities included creating and implementing all niche-marketing plans regarding acquisition, development, & retention of long-term client relationships
- Extensive training in Comprehensive Financial Planning focusing on wealth preservation & long term financial planning
0-5 years of experience
Contacted clients and set up meetings within an office environment and in clients’ homes/premises
- Conducted in-depth reviews of clients’ financial circumstances, current provision and future aims
- Provided clients with information on new and existing products and services
- Talked to groups and individuals about personal finance
- Produced financial reports
- Contacted clients with news of new financial products or changes to legislation regarding their savings and investments
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Financial Advisor Trainee
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.
