Financial Advisors Assistant


The Financial Advisors Assistant will act as a liaison between the client, Financial Advisor, Broker-Dealer, custodian institutions, and insurance companies. The assistant will complete and review all applications to ensure they are accurate and in good order prior to transmittal to our insurance and investment companies.

To be considered, a candidate must be well organized, detail-oriented, have the ability to manage multiple tasks and priorities, and have excellent customer service and computer skills. If desired, the candidate would have the opportunity to advance to a para-planner or advisory role based on performance and personal goals.  

Responsibilities and Activities:

  • File client correspondence
  • Meeting preparation
  • New account processing
  • Problem solving
  • Assisting clients with account questions - in person or by phone
  • Performing account maintenance
  • Morningstar illustrations
  • Account disbursements
  • Filter all calls when needed
  • Name/address/beneficiary changes
  • Securities research 
  • Monitoring account activity
  • Perform trades and account rebalances
  • Cash flow and portfolio analysis
  • Providing customized reporting for the client and Financial Advisor
  • Develop and maintain written procedures for all activities
  • Other duties as assigned


  • Constant communication with Financial Advisors, Director of Operations, and other associates
  • Completes top six lists daily and prioritize activities for next day or use the contact management program
  • Report to the Directors of Operations

Knowledge, Skills and Abilities:

  • Requriements:
    • Strong Interpersonal skills
    • Positive attitude and extraordinary client service 
    • Must be able to maintain the high level of confidentiality
    • Excellent verbal and written communication skills  
    • Exceptional organizational and time management skills
    • Strong analytical and problem solving skills 
    • Strong attention to detail and ability to multi-task 
    • Must have the ability to work independently, as well as in a team environment
    • Must have strong computer skills, including proficiency in MS Office applications
    • Experience with a web-based trading platform preferred
    • Team Player


  • Series 7/63 licenses or willingness to obtain within 6 months of hire
  • Life and Health insurance license or willingness to obtain within 6 months of hire
  • Minimum of 1 years industry experience preferred
  • Bachelor’s Degree is required


  • FINRA Series 65/66 licenses


Apply by completing our online survey and upload your resume by accessing the following link: