- Work directly with the FA serving as liaison between the FA, clients and provider companies
- Day to day interaction and training with the FA learning details regarding the clients
- Schedule meetings with clients
- Prepare information needed for client meetings and meet with the FA to review and discuss prior to the meeting
- Meet with existing clients for reviews, update information, and make adjustments to investments if needed
- Meet with new clients and gather pertinent information necessary to design investment strategies for the client's risk tolerance and time horizon
- Prepare required documents for opening accounts and servicing existing accounts
- Learn and become proficient using the GVCM Platform and design investment strategies/proposals for clients
- Learn and become proficient using multiple Global View Capital (GVC) systems
- Proficient with details in regard to multiple custodian's paperwork (i.e. Charles Schwab, AXOS, Fidelity, etc.)
- Proficient with financial planning software (i.e. RightCapital)
- Service existing client accounts, identify areas of concern and propose solutions.
- Prepare new client account paperwork (GVCM's and Custodian)
- Manage and execute the Annual Client Reviews
- Maintain Customer Relation Management (CRM) i.e. details in Redtail software
- Maintain client files – documents, notes, etc. in BOX software
- Assist with client and custodian inquiries.
- Weekly – prepare client activity reports and meet with the FA for assignments and tasks to be completed pertaining to existing clients and prospects
- Monthly – prepare client activity reports for the FA and plan for upcoming client reviews
- Proactive with problem solving unanticipated occurrences
- Complete other projects as assigned and delegated by the FA
- Required: NASAA Series 65 or Series 66 License
- Required: Wisconsin Life and Health Insurance License
- Undergraduate degree/bachelor's degree in business, finance, or related discipline
- 4-6+ years of experience with servicing client accounts
- Experience in financial planning
- Ability to identify problems, resolve them independently or escalate when necessary
- Excellent oral and communication skills
- Ability to work in a deadline driven environment
- Team oriented
- High attention to detail and commitment to accuracy
- Excellent problem solving and follow-up skills are essential
- Strong work ethic, self-starter who takes initiative and works well independently
- Proficient at collaboration, analytical and strategic thinking skills
- Proficient at Microsoft MS Officer applications (i.e. Outlook, Excel, Word and PowerPoint) and Adobe
- Accounting experience helpful
- Lift 30-50 lbs. (i.e. banker boxes)
- Typing skills of 40-50 wpm with minimum error ratio
- 401(k) Retirement Plan – no employer match
- Profit Sharing contribution to 401(k) based on management discretion
- Bonus opportunities
- Health Insurance
- Dental Insurance
- Vision Insurance
- Paid Holidays – based on the NYSE holiday hours
- Paid-Time-Off (i.e. vacation, sick)
- $65,000 annual gross salary
- Plus, based on experience, eventually sharing of revenue of advisory fees and insurance commissions with the FA
- Expected hours: 40 – 45 per week
- · Monday - Friday
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Financial Advisor - Waukesha, United States - Global View Capital Management, LLC.
Description
Financial Advisor (MUST have NASAA s65 or 66 & WI Ins Life & Health license)
Global View Capital Management, LLC (GVCM) is an SEC Registered Investment Advisor (RIA) and the headquarter office is located in Waukesha, Wisconsin. GVCM delivers tactical asset management through its proprietary strategies. GVCM has 100+ Investment Adviser Representatives (IAR's) located in several branch locations across the United States and has offices in Canada.
Position Summary:
This position reports to one person who is the President, Chief Compliance Officer and Senior Financial Advisor (FA). The position is responsible for client servicing of existing clients, designing, and adjusting financial plans to help clients meet their financial goals and preparation of paperwork for new accounts in adherence with the Investment Advisers Act of 1940, the Investment Company Act of 1940, Securities Exchange Commission (SEC) and the North America Securities Administrators Association (NASAA).
This is a newly developed position. The person will train daily with the FA to eventually acquire the client base from the FA within a three (3) year client business legacy plan. The pay will be adjusted as this position develops and this person services a higher percentage of the FA's clients and shares in the revenue (i.e. advisory fees and insurance commissions).
To the Applicant:
Please only apply if you have a CRD # with an IAPD report on: www. , a series 65 or 66 license and a WI life and health insurance license. Please include your Individual CRD # on your resume.
Responsibilities:
Qualifications:
Physical Requirements:
Benefits:
Salary:
Job Type:
· On-site
· Full-time
