Registered representative vs registered sales assistant

Differences between registered representative and registered sales assistant duties and responsibilities

Registered representative example responsibilities.

• Manage variable and fix immediate and defer annuities for wealth accumulation.
• Develop knowledge of complex financial instruments and successfully communicate strategies for utilizing various securities in achieving client financial objectives.
• Manage and strengthen customer relationships through cross-selling and up-selling to maximize retention and income generation by contacting existing and prospective customers.
• Intern at the NYSE with the M/S floor trader.
• Provide due diligence for IPO of small cap.
• Assist companies with development and sale of initial public offering (IPO).
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Registered sales assistant example responsibilities.

• Manage numerous, highly confidential details for retirement plan deals from start to finish including meticulous preparation of PowerPoint presentations.
• Maintain require NASD regulatory files and compliance manuals.
• Evaluate annuities for future cash flows to determine suitability and to maximize income.
• Trade equities, fix income, and options through computer systems and trading desks.
• Provide stock quotes to clients and enter orders for equities and mutual fund trades.
• Prioritize and execute multiple objectives, projects, or tasks simultaneously while adhering to the firm and FINRA policies and objectives.
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