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Investment Advisor Resume Samples
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6-10 years of experience
Advised clients regarding financial planning, securities trading and tax issues.
- Responsible for new asset acquisition and portfolio allocation of over $50,000,000.
- Trained and mentored numerous new investment representatives to become successful advisors.
- Founding member of the Retention Team that increased asset retention by 40%.
- Counseled military members at conventions and cadets at U.S. military academies.
- Assisted in the development and implementation of programs critical to the growth of the company.
- Consistently one of the top performing representatives who regularly received annual awards.
0-5 years of experience
Provide full service financial planning. Work with private individuals and corporate clients to identify goals and formulate custom solutions. Managed retail and education sector books of business. Maintained more than $37M in total assets.
- Delivered $2M in retail business for company.
- Increased client base 30% in major New York school district.
- Increased overall territory sales more than 41% in less than four years.
- Improved sales by identifying and targeting under-served small and medium-sized companies.
- Ranked in Top 30% for Retail Sales in multi-county metro region.
0-5 years of experience
Cooperate in management of $20 million equity portfolio for 60 +/- high net worth (HNW) clients.
- On-boarded approximately five new accounts monthly with several whose AUM exceeded $100,000.
- Grew assets under management to $20+ million.
- Increased gross revenue generated by $100,000 since 03/2012.
0-5 years of experience
Processed regulatory filings as required with SEC and State regulatory agencies, including initial ADV forms and amendments, state notice filings and form U4/U5.
- Facilitated effective communications with various regulatory agencies, including responses to State and SEC requests.
- Developed and implemented written policies and procedures to ensure compliance by the firm with relevant SEC rules and other applicable laws.
- Created client paperwork for the RIA.
- Created a uniform disclosure format to ensure Investment Advisors / Registered Reps maintained compliance with SEC, FINRA and State Regulatory agencies.
0-5 years of experience
Assisted clients with their financial planning needs; identified revenue growth opportunities based on clients’ investment objectives and risk tolerance, resulting in a 20% minimum increase in market share.
- Managed clients’ risk through the implementation of a diverse portfolio including investments, insurance and trust products.
- Maintained and retained strong repeat business.
- Partnered with other associates to provide the highest level of client service while retaining higher market share.
- Carefully adhered to company’s guidelines on client’s on-boarding process by conducting a thorough fact-finding.
0-5 years of experience
Assisted Investment Advisor (Owner) in all aspects of running the business.
- Implemented investment philosophy for current and new clients.
- Performed retirement analysis for current & prospective clients.
- Re-Balanced and maintained client portfolios ($55MM Assets Under Management).
- Prepared client trade recommendations for Investment Advisor.
0-5 years of experience
Assisted RCM investment advisors to review investment due diligence check list and documents.
- Maintained and updated the database on Retirement Plan Advisory Group System.
- Coordinated with marketing department to prepare companywide marketing materials.
- Maintained and updated investment analysis spreadsheets, templates and forms.
- Performed investment manager screenings.
- Performed other ad-hoc duties as assigned by supervisor.
0-5 years of experience
- Drove the sale of various products and services, and assisted in the management of $150 million in assets
- Advised and served thousands of VALIC account holders as part of a 12 member team
- Grew portfolio by $11 million in 1 year through asset consolidation
- Achieved 115% of goal for one of three sales goal categories
- Ranked as high as #2 out of 26, in for IncomeLock sales category
0-5 years of experience
- Constructed client portfolios based on asset allocation and historical financial and market data to reduce their investment volatility and risk while increasing returns.
- Promoted from Financial Representative to District Leader within 2 months.
- Analyzed business revenues and expenditures to identify opportunities to maximize investment returns and improve efficiency of operations.
- Provided outstanding customer service and follow-up ensuring complete satisfaction which often led to cross selling and increased revenue.
- Created PowerPoint training modules that were adopted companywide and used in training of new agents.
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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.
