JOB DESCRIPTION
Licensed Sales Assistant
After becoming licensed, the employee will have the ability to make trades when instructed by the finanical advisor. Employee can initiate money transfers and discuss account information with clients when requested.
Key Responsibilities:
- Licensed Sales Assistants have the ability to receive non-solicited trade orders and execute them as instructed by the client and/or their Financial Advisor
- Prepare client appointments/account reviews (reports & forms)
- Process new business and checks (paper and DocuSign formats)
- Receive and process client account maintenance requests such as RMD’s, Withdrawals, Journals, SRA’s, Beneficiary Changes, Address/Email Changes, Employer Changes, Death Claims, Etc.
- Pend all Account Openings, TOA’s, PIP’s, SWP’s, RMD’s, (this includes Case Maintenance, electronic files, blotters, as well)
- Field phone calls when needed for client requests, questions, and problem solving
- Continual self-education of necessary tools and programs our office uses (OnceHub, ReadyDoc, Wealthscape, Salesforce, Quik!Forms, Office Suite, etc.)
Qualifications:
- Series 6 (Mutual Funds & VA Products) and Series 63 (State Securities Exam)
