![]() ![]() ![]() This will be aided by attending educational meetings sponsored by the broker/dealer.Ĩ. Continually review research materials and financial news for areas of opportunity and concern. Keep current on markets and securities of importance to clients. Utilize the client review process to ensure that clients are aware of their status with regards to being on target to reach their goals.ħ. Continuously monitor client's financial condition and utilize a client tiered services model for customer service. Ensure that proper account documentation is completed and that any requests for further information requested by the broker/dealer are complied with promptly.Ħ. Answers client questions and concerns in a timely manner.ĥ. Supervises all aspects of handling the client account from money and security transfers to verify the accuracy of statements.Ĥ. Help to determine proper strategy based on Risk Tolerance, Time Horizon and client goals.ģ. Assists clients in meeting their financial goals through personalized, in-depth counseling and recommendations of appropriate investments in equity and debt instruments.Ģ. This is a commission based sales position providing investment consultation to the public utilizing packaged products (Mutual Funds, Annuities, REITS, Etc), individual securities (Stocks and bonds), in combination with bank products.Įssential Requirements, Duties, and Responsibilitiesġ. ![]()
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