Investment Advisory Associate

In this role, you will work along with the Investment Group Director servicing the needs of brokerage clients. Assist with client on boarding and customer service. Enters trades on clients' behalf. Support the Investment Group Director with broker-dealer, registered investment advisor and insurance business. Complete sales and required route documents for processing/updating accounts, takes appropriate action when a debit occurs, track transfer of client assets. Assure activity/account processing is in compliance with pertinent laws and regulations. Ensures federal, state, insurance licenses are monitored/up to date. Follow up on routine client correspondence and phone inquiries. Maintains accurate and current customer records and branch files such as marketing, correspondence, etc. Review all documentation in light of completeness and suitability. Set up and track paperwork for client appointments. Assists in the prospecting of new business and development of existing business for the Group Director. Requirements: High school diploma or general education degree (GED) Minimum 3 years securities industry knowledge Trading and providing excellent customer service Patience and ability to multi-task Series 7 and 63/66 (or equivalent)#LI - Hybrid
#LI - LM1