Financial Advisor

The financial advisor brings a high level of expertise with a minimum of five years experience and a Certified Financial Planner designation.  The financial advisor will have a CPA or at least be a candidate for Level II of the CFA.  If not a CPA or CFA, we expect the successful candidate to obtain the designation within three years.  The financial advisor will have an intermediate level of proficiency in Excel, Word, PowerPoint, contact management and portfolio management software.

The financial advisor ensures that the work load of the team is balanced by managing workflow between the advisors and the other team members.  The financial advisor leads the weekly team meetings, coordinates tasks, and maintains the team work log.  The financial advisor assigns realistic due dates for each task that the team members must accomplish.  The financial advisor ensures that all deadlines related to client workflow are achieved.

The financial advisor helps clients achieve their goals by developing and presenting comprehensive wealth management plans.  This includes financial, investment, retirement, education need, estate planning, business planning, tax planning and charitable planning analyses.  The financial advisor actively participates in a meeting with the client when the plans are presented.  The financial advisor sets the agenda for the meeting and then coordinates the implementation and monitoring of the plan to ensure that the client is on track to achieving their goals.  This consists of an annual client meeting including a review of the investment portfolio, the periodic updating of a client’s plan, and the constant oversight of the client’s investment portfolio. 

The financial advisor has opportunity to assist in the client acquisition process.

The financial advisor will co-manage designated clients with the wealth manager.  The financial advisor will be the primary person for client contact, will address client questions and concerns and ensure that any outstanding items for that client are addressed in an appropriate time frame.

Analyst

The analyst brings a high level of expertise to the position with a minimum of two years experience. If the analyst has not obtained the CFP designation, the analyst will enroll in a program within three months of employment. Completion of the CFP program is expected within two and a half years of enrollment. The analyst will have an intermediate level of proficiency in Excel, Word, PowerPoint, contact management and portfolio management software.

The analyst actively participates in the team’s weekly meetings and provides a report on the status of outstanding items. The analyst completes each assigned task by its respective due date.

The analyst helps clients achieve their goals by developing and presenting comprehensive wealth management plans. This includes financial, investment, retirement, education need, estate planning, business planning, tax planning and charitable planning analyses. These plans will be presented to the client with the analyst actively participating in the meeting. This includes setting the agenda for the meeting. The analyst will then implement and monitor the plans to ensure that client is on track to achieving financial goals. This includes an annual client meeting including a review of the client’s investment portfolio, the periodic updating of a client’s plan, and the constant oversight of the client’s investment portfolio.

The analyst will maintain the necessary continuing education credits to ensure that respective licenses are kept up to date. Additionally, the analyst will remain current on the issues that directly affect clients. The analyst will take appropriate educational courses to enhance and refine their skills.