The Financial Advisor provides investment and insurance solutions to clients. The goal of the Financial Advisor is to work with the prospect or client to help them understand their current financial picture, anticipate future goals and needs, and develop solutions designed to meet those goals and needs.
Operating in Rockville, MD.
DUTIES AND RESPONSIBILITIES:
Maintain all licenses and professional designations in good standing. Adhere to the firm, regulatory and professional designation issuing bodies continuing education requirements
Contact prospects sent to you by referral or from seminars, events, etc. in a timely manner and schedule meeting
Meet with prospects to understand their current financial profile, their goals and objectives, income, net worth, risk tolerance, investment horizon, and other pertinent information
Utilize industry knowledge, continuing education, planning tools, product research, and professional advice to identify products and services to recommend
Present recommendations after determining and documenting their suitability
Prepare paperwork required to open accounts, review with clients and complete
Enter trades to execute the approved strategy
Monitor market conditions, individual product performance and client holdings to determine when changes to the portfolio's asset allocation and/or product substitution are warranted
Communicate with existing clients on a regular basis to review performance and determine if objectives have changed. Execute changes to their portfolio accordingly
Address any OSJ/Principal review questions and respond to any system notifications immediately
Abide by rules of all regulatory bodies including FINRA, SEC, states, etc.
Abide by the Written Supervisory Procedures of the firm and it's clearing broker/dealer and custodian
Maintain current knowledge of the industry and products used by attending vendor meetings and conference calls, reviewing literature and other publications
Gather all necessary client information for the CRM system and maintain client records in good order
Attend and participate in regular advisor, staff and training meetings
Present at seminars to NWFCU members, sponsor groups or others, as requested
BA/BS in Finance, Business or like field with a minimum of two years work experience in the securities industry is preferred
A FINRA Series 7 and 66 (or 63/65) are required
A Life & Health insurance license is preferred
Willingness to ob
Northwest Federal Credit Union