Daily administrative, operations, compliance of four or more registered associates within a Market/Complex
Leadership to expand revenue and client relationships
Ensures compliance and regulatory requirements are met and assist with profit and loss statement
Development of branch business plan and recruits financial advisors
Serves as a Financial Advisor for personal clients providing financial advice consistent with the client’s goals and risk tolerance, assesses investment profile and evaluates financial needs
Advises clients of different financial products and determines which are suited for client needs and financial circumstances
Qualifications
Series 7, 9 and 10 (or equivalent) and 63 (or equivalent) licenses required and/or qualifying registration(s)
3+ years financial services experience
Within 90 days of hire must successfully complete exam(s) for the 65/66 and/or obtain the qualifying registration(s). Series 3/31 may be required if branch conducts commodities business