The Paraplanner plays a critical role in assisting the advisor and the client in completing account paperwork, answering client questions, communicating with our broker dealer, mutual fund companies, money managers, and insurance companies.

Responsibilities and Activities:

  • Meets with clients to complete insurance and investment paperwork
  • Follows up with the insurance and investment companies to make sure all requirements are completed per the applications
  • Processes, monitors, and verifies securities trades and account rebalances
  • Documents, files, and electronically saves appropriate trades
  • Prepares Financial Plans
    • Works under the direction of the Financial Advisor
    • Prepares and finalizes recommendation letters
    • Implements recommendations
  • Completes Fact Finders and Risk Tolerance Profiles with prospects and clients
  • Observes and assists Financial Advisor in client meetings with paperwork and technology
  • Researches customer and advisors' requests
    • Takes necessary actions to resolve problems and or inquires
    • Records notes in Contact Management software
  • Processes new account applications, transfers, contributions, redemptions, and changes to account
  • Develops and maintains written procedures for all activities
  • Filters all calls and documents client contact by sending an email to office associates
  • Prepares client files
    • Note: Financial Advisors Assistant and Financial Services Assistant to prepare paperwork
  • Reviews all client paperwork before meeting with clients to make sure everything is complete and accurate


  • Constant communication with the Financial Advisor and Director of Operations

  • Daily completion of top six list or the use of the contact management system to prioritize daily tasks and reminders

  • Communicates delegated responsibilities when planning to be out of the office

  • Reports to Financial Advisor and Director of Operations

Knowledge, Skills, and Qualifications:

  • Ability to maintain the highest level of confidentiality
  • Excellent verbal and written communication skills required
  • Exceptional organizational and time management skills required
  • Strong analytical and problem solving skills required
  • Strong attention to detail
  • Must have the ability to work effectively independently
  • Must have strong computer skills, including proficiency in MS Office applications
  • Experience with a web-based trading platform preferred
  • Team Player
  • Excellent knowledge of financial services industry’s rules and regulations
  • FINRA Series 7 and 63, along with Life and Health Insurance licenses required
  • Bachelor’s Degree required
  • Excellent interpersonal and analytical skills
  • Positive attitude and extraordinary client service
  • Ability to handle multiple tasks and operate in tight deadlines


  • At least 2 years in the Financial Services Industry
  • FINRA Series 65/66 license


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