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•Directly communicate with clients to service their account requests or concerns via phone, email, or other mediums

•Plan and arrange client meetings

•Document and execute money moves - trades, deposits, ACH, wires, withdrawals, rollovers, etc.

•Complete data entry for MoneyguidePro plans and assist with Riskalyze questionnaire completion

•Assist with new account openings and maintain contact with new clients to verify account information, beneficiary designation, address changes, etc.

•Assist with new financial professional transition when assigned

•Service advisory accounts, as applicable

•Maintain working relationships with other business functions to ensure seamless business practices and troubleshoot problems when they arise: Compliance, Operations, IT, Strategic Initiatives, Training Center, etc.
•Research client portfolios as assigned and as experience is gained remain knowledgeable about financial markets

•Determining client needs through service to initiate opportunities for Financial Professionals

•Maintain open communication with assigned FPs to discuss financial opportunities and develop client financial plans as directed

•Collaborate with Marketing to assist with financial professional marketing strategies and initiatives

•Contribute to Client Associate RingCentral chat to share knowledge with others

•Assist with other branch coverage when needed

•Adhere to and keep up to date on Compliance and firm policies and participate in firm sponsored training

• Ensure and maintain good standing with all FINRA/SEC rules and regulations including licensure and continuing education requirements, if applicable