Registered Financial Advisor Assistant

• Jan 2009 - Present

Provide exceptional service to high-net-worth clients •Support 2 CFS Gold Pacesetter Financial Advisors •Familiar with in depth financial planning, and wide range of product mix and offerings from advisory accounts to fixed annuities •Prepare and process new account paperwork with follow up •Meet with clients to complete paperwork and some initial data gathering •Take and place trade requests from clients and advisors •Maintain team budget and wholesaler relationships to ensure financial support to fund client events •Planning workshops and events: supporting materials, invitations, RSVPs, catering and location •Cost basis calculations, working with clients and CPA’s •Ensure all clients have satisfied RMDs- often from multiple sources and QCDs •Detailed history notes and compliant with continuing education and compliance memos •Train new hires with platform systems, processes and procedures •Compile reports; assets under management, review lists, various client data •Answer phones; schedule appointments, service requests, out-bound calls to prospects Show less

Sales Assistant

• Jan 2004 - Jan 2009