The primary role of the Associate Advisor is to develop client relationships and serve as the primary financial planner to those clients. The advisor must provide advice and planning consistent with the firm’s core philosophy and support the firm’s mission and vision. The advisor will work closely with the firm’s principal in developing plans and making recommendations to clients. Additional responsibility may include but are not limited to developing and improving firm policies and procedures, training and coaching the paraplanner, assigning and supervising projects as required. The Associate Advisor will be required to work independently and be able to develop and implement innovative solutions for assigned projects
The firm has a reputation for thorough, attentive, and personal service to each client. We pride ourselves on providing excellent financial planning advice and services. The firm maintains high professional standards in a relaxed, small office environment. A healthy, positive life perspective and a desire to grow personally and professionally will be invaluable for success in this role.
Duties and Responsibilities
Marketing and Client development – the advisor will be responsible for re-engaging existing clients of the firm who do not currently have an active planning relationship. In addition, the advisor will be expected to bring new clients to the firm through their own existing relationships, networks and marketing efforts. From time to time, the associate advisor may be assigned firm clients to service.
Creating and updating financial plans consistent with the Financial Planning process as described by the CFP Board, The American College and the firm’s own policies.
Coordinating and conducting meetings with prospects, clients and advisors;
Facilitating the data gathering process while maintaining secured detailed records of client information and documents;
Analyzing client data and preparing financial/action plans;
Developing and preparing implementation materials and paperwork;
Presenting the financial plan under the supervision and direction of the financial advisor;
Coordinating the processing, tracking and monitoring of accounts
Assisting lead advisors with preparing investment proposals and allocations then implementing trades under the direction of the lead planner and advisor
Coordinating efforts with insurance and annuity specialist for quotes and illustrations
Taking lead on answering routine client questions and service requests
Assigning and supervising projects as required
Training and coaching team members to ensure all members are working effectively and efficiently
Developing a company investment policy statement and process to test and build model portfolios
Researching and screening financial products and meeting with sponsors for product updates
Excellent organizational, procedural, and project management skills with great attention to detail
Strong interpersonal, written and oral communication skills
Excellent knowledge of Microsoft Office applications
Ability to work both independently and as part of a team
Expertise in knowledge of industry systems and programs, client servicing
Mastery of firm service and compliance process
Bachelor’s degree, CFP® certification or equivalent required
5-10 years of industry experience
Additional licensing may be required
Indoor, environmentally controlled conditions
In contact with others (face-to-face, by telephone, or otherwise), including working in teams
Remain in a seated position, in front of a computer, for extended periods of time
Perform work using computers and electronic devices
Lift an object of 25 pounds
D.M. Brenner, Inc. is a Registered Investment Advisor located in Solana Beach, California that provides comprehensive financial planning for families, small businesses and professional practices. They work closely with their clients’ tax and legal advisors to ensure an integrated approach to planning their financial future. Visit www.dmbrenner.com for more information.
Additional Salary Information: Based on production.
Internal Number: 201
About D.M. Brenner, Inc.
We provide comprehensive financial planning for families, small businesses and professional practices. Our services include retirement and estate planning, investment management, and life and health insurance.