Registered Client Specialist (Milwaukee, WI)

Robert W. Baird & Co. Incorporated Milwaukee , WI 53201

Posted 2 weeks ago

Job Description:

Challenge your thinking and build an amazing career with the best people in the financial services industry! Baird's Financial Advisors provide advice, strategies, and solutions to high-net worth individuals and families across the United States, serving as true partners. True wealth management goes beyond managing investments. At Baird, we understand it begins with learning all we can about what our clients want for themselves and their families. We work closely with them to prioritize their goals, utilizing Baird's resources and expertise to create a tailored plan to ensure success as they've defined it. Our 1,700+ private wealth associates serve clients coast-to-coast from 90+ locations in 30 states. We have been recognized on Barron's Top Wealth Management Firms for 10 consecutive years and hold over $200 billion in client assets. Check out this video to learn more about our Private Wealth Management business.

As a Registered Client Specialist you will:

Be responsible for the client service & marketing functions of two Financial Advisors following a wealth management or portfolio management business approach, including any operational functions necessary to meet client service requirements. You will also participate in the Financial Advisors' business development efforts in alignment with the Financial Advisors' long-term business plan.

Client Service

  • Responsible for client onboarding coordination, which includes managing Financial Advisor(s) prospect pipeline, assisting with proposal generation, preparing new account paperwork, opening accounts, transitioning new assets to Baird and establishing an ongoing communication/client service plan.

  • Partner with Baird's Corporate Resource Groups and be knowledgeable of the services they are able to provide FAs, CAs and clients providing the best outcome for clients and the firm.

  • Answers all incoming Financial Advisors' phone calls and handles as appropriate. Initiates action and advises Financial Advisor of action taken. May contact potential clients with Financial Advisor's direction to introduce products.

  • May schedule client appointments and/or conference room for appointments.

  • Stay current and understand firm policy and procedures in an ever changing regulatory environment, being able to articulate the reason for certain requirements to clients as needed.

  • Communicate progress updates to clients, as needed, on more complex projects.

Business Development

  • Proactively review investment opportunities on a daily basis & notify Financial Advisor(s) to take action on those opportunities with the goal of driving the Financial Advisors' business. Specifically, this may include funds available/money line, maturing securities, reorg items, previous days' activities and external websites.

  • Support FA business plan objectives and align individual goals with the plan.

  • Work with Financial Advisor(s) to directly generate new business and maintain/increase existing client relationships through various techniques including developing systems for cross-referencing and/or cross-selling that enhance client satisfaction, build client retention and create client loyalty.

  • Work with Baird Corporate Resources to create advanced client reports and potentially present these finding to clients. (Social Security Review, Financial Plan, Estate Documents Review, Insurance Quotes)


  • Initiates and completes all transactions required to fully service client accounts i.e. paperwork, correspondence, client request fulfillment and special projects as needed

  • Ensures compliance with Baird's policies regarding correspondence, books and records requirements including trade policies, seminars, and marketing.

  • May enter security orders including stocks, bonds, fixed income, options, annuities and other investment vehicle orders per Financial Advisors' instructions or upon client's verbal direction.

  • May also provide back-up to other teams and the branch when necessary, as well as perform other duties and special projects as necessary.

  • Maintain primarily electronic files and ability to retrieve the information quickly as needed.

What you will love:

  • Flexible work-life balance is promoted

  • Fast paced environment that will enable you to grow as a professional

  • Opportunity for professional growth & development

What we look for:

  • Bachelor's degree or industry experience comparable to Bachelor's degree.

  • 2+ years of prior industry and/or administrative work experience or an equivalent combination of education and experience from which comparable knowledge and abilities can be acquired.

  • Must be Series 7/63/65 or 7/66 licensed.

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Registered Client Specialist (Milwaukee, WI)

Robert W. Baird & Co. Incorporated