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Top 50 Registered Representative Skills

Below we've compiled a list of the most important skills for a Registered Representative. We ranked the top skills based on the percentage of Registered Representative resumes they appeared on. For example, 20.5% of Registered Representative resumes contained Financial Services as a skill. Let's find out what skills a Registered Representative actually needs in order to be successful in the workplace.

These are the most important skills for a Registered Representative:

1. Financial Services

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high Demand
Here's how Financial Services is used in Registered Representative jobs:
  • Operated as a financial services professional focusing on retirement, estate and insurance planning.
  • Marketed to prospective customers to present information and explain available financial services.
  • Provide financial services and insurance solutions for self-generated contacts.
  • Provided financial sale presentations and financial services for customers.
  • Researched and responded to client inquiries related to available financial services, investments, tax reporting and cashiering.
  • Acquired 300 new DSFCU clients for financial services department, with total investment portfolio valued over $30,000.000.
  • Provided a variety of financial services which included stocks, bonds, mutual funds and option strategies.
  • Performed sales presentations that provided clients with information about The Equitable and our Financial Services / Products.
  • Assisted clients with full financial services which included; retirement, education, and tax reduction strategies.
  • Served as an agent selling Financial services on behalf of Acorn Financial to John Hancock.
  • Service representative and principal for brokerage business clearing through National Financial Services, Inc.
  • Provided excellent customer for financial services clients in a high-volume call center.
  • Provided support similar to Capital Financial Services, Inc.
  • Initiated and provided financial services for the advanced markets.
  • Marketed a variety of financial services programs.
  • Acted as an independent financial services consultant selling investment and insurance products.
  • Recruit and develop individuals to ensure a successful career in the financial services industry.
  • Maintain top 8 % financial services producer status 10 years consecutively.
  • Buffalo, NY 1986 - 1989 Griffin Financial Group A Financial Services Company Registered Representative
  • Learned the financial services industry from the "ground-up" in these entry-level positions.

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2. Financial Products

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high Demand
Here's how Financial Products is used in Registered Representative jobs:
  • Serviced existing accounts by analyzing existing portfolio and making recommendations for future financial products.
  • Perform comprehensive financial analysis and recommend specific financial products/services.
  • Placed trades, explained financial products, discussed economic conditions, and offered trading assistance to help clients make informed decisions.
  • Contracted with Nationwide Insurance Property and Casualty Agents to cross-sell Life Insurance and Financial products to their current customers.
  • Help clients to determine financial and investment needs, and utilize sales skills to effectively recommend suitable financial products.
  • Marketed a wide range of Insurance and financial products to individuals, families and small businesses.
  • Recommend financial products, such as stocks, bonds, mutual funds, or insurance.
  • Sell financial products such as stocks, bonds, mutual funds, and insurance.
  • Offered financial products including stocks, bonds, mutual funds, annuities and Insurance.
  • Marketed a full line of financial products and services to groups and individuals.
  • Trained clients of all knowledge levels on complex financial products and software packages.
  • Helped clients get a better understanding of the financial products out there.
  • Offer financial products to suit a variety of objectives and risk levels.
  • Sell financial products and services, insurance, or securities to clients.
  • Advised clients on financial products.
  • Educate clients on financial products.
  • Promoted multiple financial products Prospected daily for potential individual and business clientele.
  • Registered Representative member of the NASD / FINA Home, Auto and Life Insurance and Financial Products.
  • Worked with people on a daily basis in regards to insurance and financial products.
  • Placed trades for clients and advisors Answered complex questions regarding financial products

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3. Client Relationships

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Here's how Client Relationships is used in Registered Representative jobs:
  • Managed client relationships by offering advice, making portfolio and other recommendations and evaluating client suitability and tolerance for risk.
  • Managed client relationships-identified needs; presented innovative technology, brokerage, trading solutions.
  • Managed client relationships and worked to grow revenue by expanding client base; trained, employed and prospected for new brokers.
  • Excelled in portfolio management, model building, analysis reporting, sales techniques, and client relationships.
  • Developed client relationships by conducting a needs analysis and providing Suitable products to meet their needs.
  • Managed client relationships successfully and worked to grow revenue by expanding client base through referrals.
  • Prospected for new accounts, followed up on referrals, and developed client relationships.
  • Build current client relationships by providing Mutual Funds, life insurance and debt consulting.
  • Maintained High Ethical Standards and Established Client Relationships through Cold Calling and Prospecting.
  • Provided ongoing service and education after the sale to strengthen client relationships.
  • Developed and managed client relationships at a Wall Street investment firm.
  • Establish and maintain client relationships.
  • Developed new client relationships through prospecting calls and networking Established detailed plans to meet client's long-term financial security
  • Registered Representative responsible for maintaining client relationships with Citicorp Investment services.
  • Maintained client relationships and procured new relationships Facilitated financial and insurance sales
  • Develop strategic and trusted long-term client relationships.
  • Provided unmatchable service to create and nurture future and existing client relationships, while appropriately guiding clients through the underwriting process.
  • Licensed insurance representative Series 6 registered representative Build & maintain long-term client relationships.
  • Placed highest value on client relationships, excellent service and satisfaction Effectively managed leads, contacts and daily sales activities.
  • Maintained client relationships through reviews to provide ongoing support and advice for future lifestyle expectancies.

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4. Investment Strategies

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high Demand
Here's how Investment Strategies is used in Registered Representative jobs:
  • Gained control of assets and successfully advised high net worth individuals/corporations on investment strategies and market trends.
  • Established and maintained valued client relationships based on skillful needs analysis and resourceful investment strategies.
  • Delivered highly professional service including product and investment strategies and research information.
  • Identify opportunities to deepen client relationships and support their investment strategies.
  • Provided exceptional customer service while offering investment strategies to clients.
  • Developed/Presented investment strategies/products to meet clients' investment goals.
  • Recommended investment strategies to achieve retirement goals.
  • Advised over 30 clients on investment strategies; attained series 6, series 63, and variable insurance and annuities licenses.
  • Delivered services including guidance, product and investment strategies, provided research information, customer service, and executed trades.
  • Conducted daily market research to individual clients with their personal buy, sell and investment strategies.
  • Develop investment strategies and uncover opportunities that meet my clients' goals and objectives.
  • Design trusts, financial planning and investment strategies for small businesses and individuals.
  • Assisted clients in identifying investment strategies in coordination of financial needs and concerns.
  • Advised membership on Life Insurance and Investment strategies.
  • Develop individual financial plans through various investment strategies Introduce clients to life insurance, college planning and retirement planning
  • Marketed innovative arbitrage, risk management, and hedged investment strategies to professional investors.
  • Analyzed technical and fundamental market data in order to create individualized investment strategies.
  • Recommended investment strategies and appropriate investments for obtaining clients specified goals.
  • Meet with customers to review financial situation and create investment strategies that help them achieve their long term goals.
  • Advised financial agents across the country on client investment strategies-mutual funds, annuities and taxes.

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5. New Clients

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high Demand
Here's how New Clients is used in Registered Representative jobs:
  • Completed general securities representative training program and prospected for new clients.
  • Seek out new clients and develop clientele by networking to find new customers and generate list of prospective clients.
  • Produced a robust book of business by acquiring new clients each week from warm and cold lead sources.
  • Delivered presentations on financial services to large corporations and diverse groups of individuals to attract new clients.
  • Conducted monthly financial seminars to various sized groups ranging from 10 to 75 potential new clients.
  • Prospected for new clients, built rapport and maintained client relationships at a professional executive level.
  • Processed, maintained, and followed up portfolios for both existing and new clients.
  • Hired to do financial planning for current clientele, and new clients.
  • Attended weekly meetings to determine how to most effectively gain new clients.
  • Make presentations on financial services to groups to attract new clients.
  • Assist with requests for proposals in order to obtain new clients.
  • Worked to gain new clients through special projects and seminars.
  • Prospected for new clients and established original relationship with them.
  • Prospected for new clients using a proven business model.
  • Prospected for new clients using various prospecting methods.
  • Prospect for new clients through marketing and referrals.
  • Walked clients through the rigorous underwriting process Developed new clients through cold calling, networking and referrals.
  • provide excellent customer service for on-boarding new clients.
  • Provide assistance for helping new clients onboard.
  • Attended world wide financial conferences to continue my personal education as well as prospect for new clients.

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6. Customer Service

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Here's how Customer Service is used in Registered Representative jobs:
  • Provided unparalleled customer service on personal and business planning to numerous clients.
  • Deliver world-class customer service and build customer satisfaction and loyalty.
  • Initiated outbound customer service calls as necessary.
  • Utilized various internal resources to manage and solve complex plan issues and client inquiries while providing exceptional customer service.
  • Obtained my Series 7 and 63 securities licenses and won Chairman's club for outstanding customer service in 1995.
  • Provided customer service both locally and with our Home office for all regional pension accounts of all registered representatives.
  • Provided customer service to existing customers and provided product knowledge in the financial fields to these customers.
  • Contributed to team recognition in the Chairman Award for Asset Growth and Excellence in Customer Service.
  • Awarded great customer service award resulting selection to manager on duty in absence of management.
  • Help mentor and train other representatives to provide great customer service to plan participants.
  • Managed client investments and insurance needs, customer service, efficiency management.
  • Solved problems and answered questions tactfully with strong customer service skills.
  • Serviced all Client Trading needs and handled all customer service matters.
  • Retained assets, and performed various customer service duties.
  • Maintained high call volumes and customer service numbers.
  • Placed investment trades and handled customer service issues.
  • Responded to inbound customer service calls.
  • Resolved up to 15 client service request daily and received many acknowledgement letters from satisfied clients for outstanding customer service.
  • Provide high quality customer service/advice in regards to retirement and brokerage accounts.
  • Received Series 7 and 63 stock broker's licenses Provided portfolio planning for novice to experienced investors Awarded for exemplary customer service

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7. Retirement Planning

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high Demand
Here's how Retirement Planning is used in Registered Representative jobs:
  • Counseled annuitants on the nature of retirement planning and different retirement plans, along with conveying their respective regulatory requirements.
  • Specialized in financial products designed for estate tax planning, pension Maximization, retirement planning and education planning
  • Applied advanced knowledge of retirement planning, technical analysis, as well as diversification and market positioning.
  • Provided insurance and financial services to Prudential clients, including investments and retirement planning services.
  • Assisted individuals and small businesses through asset diversification, tax-efficient retirement planning and protection planning.
  • Facilitated seminars to inform communities about financial literacy and the importance of retirement planning.
  • Evaluate financial goals of Chase customers and offer suitable product recommendations and retirement planning.
  • Provided financial direction, portfolio management, and retirement planning.
  • Assisted individuals and small business owners with retirement planning.
  • Customized financial and retirement planning by analyzing client needs and investment opportunities to cater to short and long term goals.
  • Included but not limited to Retirement Planning, Protection needs, College Education planning and Health Insurance.
  • Conducted educational seminars on topics such as college savings, retirement planning and long term care planning.
  • Integrated client financial management, retirement planning, educational funding, and estate planning.
  • Assisted clients in risk management, transition-business and retirement planning, and education funding.
  • Developed Financial, Estate & Retirement Planning for clients.
  • Assisted clients with their retirement planning needs.
  • Honed presentation and public speaking skills by conducting educational seminars on pension and retirement planning.
  • Assisted clients with investment needs including retirement planning Advised clients with long term care, disability, life, and health insurance
  • Initiated contact with potential clients Analyzed potential clients financial needs including: Retirement planning, insurance planning, and tax effective investing
  • Worked directly with Managing Director and Senior Executive of the Boca Raton Estate and Retirement Planning Division.

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8. Current Income

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high Demand

9. Estate Planning

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Here's how Estate Planning is used in Registered Representative jobs:
  • Developed messaging for client themes / solutions, working with estate planning law firms, financial planning professionals and investment vendors.
  • Provide life insurance, annuities, investments, retirement and estate planning as well as executive benefits and business succession plans.
  • Trained in investments and securities, Financial and Estate planning, as well as all aspects of Insurance related fields.
  • Provided professional advice on money management, cash accumulation, retirement strategy, estate planning, and risk management.
  • Perform advanced estate planning, consultative sales, customer service, trade shows, seminar preparation and presentations.
  • Experienced in retirement and estate planning for clients with a net worth of 1 to 6 million dollars.
  • Provided knowledge to clients on debt and asset protection, estate planning, and business succession strategies.
  • Key areas of focus were Annuities, Estate Planning, Long-Term Care, and Life Insurance.
  • Educated and advised clients on estate planning, asset diversification, and tax minimization strategies.
  • Partnered with estate planning attorneys to coordinate wills and minimize estate taxes for estate conservation.
  • Presented estate planning concepts to prospects including revocable living trusts and charitable remainder trusts.
  • Serviced and advised current and prospective clients on Investment Planning and Estate Planning needs.
  • Protect over $3,500,000 of assets from federal taxes with estate planning tools.
  • Specialized in Variable Universal Life, Estate Planning and Business Life Insurance.
  • Provide Estate Planning Seminar and Analysis for Affluent client and retire client.
  • Conducted seminars on estate planning and long-term care insurance.
  • Marketed Life Insurance, Disability Income Replacement, Estate Planning, Long Term Care Insurance and Retirement Planning services.
  • Assisted Financial Advisor in developing Qualified Retirement Planning, Estate Planning, and Non -Qualified Executive Benefits.
  • Completed financial diagnostics concerning education, retirement, insurance and estate planning needs of clients.
  • Sell to CEOs, CFOs, and C Level executives as well as estate planning individuals.

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10. Financial Plans

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high Demand
Here's how Financial Plans is used in Registered Representative jobs:
  • Developed personal financial plans for individuals and families that included recommendations for insurance, investments, and banking products.
  • Tracked client correspondence; scheduled audits of personal financial plans and recommended modifications.
  • Established individual client relationships with regards to their holistic financial plans.
  • Formulated strategic financial plans that adhered to corporate requirements.
  • Developed financial plans for individuals & businesses
  • Prepared and implemented comprehensive financial plans.
  • Develop financial plans based on analysis of clients' financial status, and discuss financial options with clients.
  • Acquired new clients and assisted with assessing their financial goals and developing short-term and long-term financial plans.
  • Develop and implement financial plans, and sell insurance, real estate, or securities.
  • Customized individual financial plans through the sale of mutual funds and life insurance products.
  • Answered clients' questions about the purposes and details of financial plans and strategies.
  • Counseled clients regarding the purpose and details of their financial plans and strategies.
  • Develop financial plans and recommend structure of assets to align with clients goals.
  • Developed and implemented financial plans based on client financial needs.
  • Designed and implemented Financial Plans for clients.
  • Developed individual financial plans using a Financial Needs Analysis.
  • Work with both experienced and newer advisors to develop financial plans for various clients and organizations.
  • Developed and rationalized comprehensive financial plans to meet client needs in an ethical, client-focused manner.
  • developed financial plans for clients; sold mutual fund, stocks and bonds).
  • Generate comprehensive financial plans utilizing Naviplan and Sungaard Allocationmaster software.

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11. Financial Goals

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high Demand
Here's how Financial Goals is used in Registered Representative jobs:
  • Solicited business from potential clients and determined available assets to invest for financial goals.
  • Worked closely with other employees to help guide clients toward achievement of their financial goals through conservative income and growth strategies.
  • Created and implemented portfolios designed to help clients achieve their long term financial goals while taking into account their budgetary concerns.
  • Consulted with clients on portfolio development while evaluating their risk tolerance, to meet their long and short-term financial goals.
  • Provided in-depth financial plans and education for both representatives and clients in order to achieve determined financial goals.
  • Learned how to connect these products to individuals for the purposes of helping them achieve their financial goals.
  • Prepared personal financial plans for clients, including evaluation of current and long-term financial goals and tax savings.
  • Worked with non-profit employees to build financial plans based on their own personal situations and financial goals.
  • Exercised knowledge of securities, investment plans, market conditions and regulations to meet client financial goals.
  • Reviewed accounts on a regular basis to ensure clients remain on track to accomplish their financial goals.
  • Presented comprehensive financial plan, and recommended suitable products for clients to attain their financial goals.
  • Maintained high standards of service and ethics with clients to help them achieve their financial goals.
  • Interviewed clients to determine financial position, resources, assets available to invest and financial goals.
  • Provided information and guidance to clients as they selected investments to achieve their financial goals.
  • Perform financial needs analysis for purpose of helping clients achieve financial goals.
  • Customized multiple financial plans to enable clients to reach their financial goals.
  • Collaborated with clients to assess financial goals and risk tolerance.
  • Help customers with long and short-term financial goals.
  • Build relationships with clients to assist in obtaining financial goals Create customized recommendations based on existing financial condition.
  • Consulted with individuals and families to help them reach personal financial goals.

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12. Asset Allocation

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high Demand
Here's how Asset Allocation is used in Registered Representative jobs:
  • Evaluate individual client scenario and recommend products and portfolio asset allocations based on risk tolerance and client time horizon
  • Created asset allocation models based on clients risk tolerances * Provided investment/insurance advisory and consulting services to client.
  • Evaluated appropriate investment and life insurance products, developed an asset allocation strategy.
  • Delivered portfolio analysis and asset allocation advice to high-net-worth individuals and institutions.
  • Increased knowledge of risk management, asset allocation and investment management.
  • Conducted individual financial consulting which included individual asset allocation development.
  • Reviewed mutual fund performances and asset allocation strategies.
  • Advised clients on asset allocation and investment products
  • Conducted portfolio analysis and asset allocation.
  • Assist clients with retirement planning and determining asset allocation (risk tolerance) for their 403(b) plans.
  • Advised members on an array of financial issues such as: retirement planning, college funding, and asset allocation.
  • Evaluate the execution of the strategic plan, program objectives, asset allocation & protection, for tax efficiency.
  • Perfected consultative selling approach, asset allocation, portfolio design, asset protection and customer service style.
  • Educated plan participants on investment options, asset allocation, IRS guidelines and QRP policies and procedures.
  • Facilitate asset allocation decisions, account openings, cash flow requests and other account maintenance.
  • Discussed the importance of asset allocation, time horizon and risk tolerance.
  • Reviewed asset allocations, risk tolerance and objectives.
  • Assisted clients in achieving retirement goals by choosing appropriate investment vehicles and proper asset allocation.
  • Educated Schwab clients on trading analytic principles, active investor strategies, and basic investment and retirement asset allocation models.
  • Provided customer service to Schwab's Platinum clients Trading Point of contact asset allocation advice Maintenance calls and margin sellouts

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13. Brokerage Accounts

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high Demand
Here's how Brokerage Accounts is used in Registered Representative jobs:
  • Resolved account requests and processed non-solicited security orders in client directed brokerage accounts.
  • Opened and administered new brokerage accounts.
  • Explained features of brokerage accounts such as margin agreements, maintenance requirements, short selling and other guidelines about brokerage accounts.
  • Developed, maintained, and managed over $200 million in brokerage accounts for both Institutional & High Net Worth clients.
  • Created unique portfolios of employer based plans, IRA's, Insurances, Brokerage Accounts and 529 plans.
  • Provide reps information on opening, maintaining, trading and transferring in all types investment brokerage accounts.
  • Added value and educated customers on the time and cost savings by managing their brokerage accounts on-line.
  • Helped clients with brokerage accounts with buy, sell or trade decisions.
  • Implemented FINRA Know Your Client procedures in the handling of brokerage accounts.
  • Initiate and develop relationships with bank customers for brokerage accounts.
  • Contacted potential clients via telephone to open Brokerage accounts.
  • Performed all aspects of account maintenance for brokerage accounts.
  • Buy and sell securities for personal brokerage accounts.
  • Opened brokerage accounts and solved account maintenance tasks.
  • Prospect for suitable clients for brokerage accounts.
  • Resolved client issues within their brokerage accounts.
  • Full Service standard Brokerage Accounts.
  • Performed all aspects of managing clients brokerage accounts
  • Explained use of Schwab research tools and online applications to select investments for education, retirement and brokerage accounts.
  • Assisted new and existing Charles Schwab clients with brokerage accounts and investments.

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14. Disability Insurance

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high Demand
Here's how Disability Insurance is used in Registered Representative jobs:
  • Developed extensive knowledge of life, health and disability insurance products and their applicability to retirement and college planning needs.
  • Pursued new sales territories that specifically targeted clients including disability insurance for physicians.
  • Sell various types of insurance policies to businesses and individuals Life Insurance, Variable Life Insurance, Disability Insurance and Annuities.
  • Sell financial services products such as stocks, bonds, mutual funds, annuities, and life and disability insurance policies.
  • Commission sales marketing a combination of life, health, and disability insurance programs, mutual funds and retirement plans.
  • Provided financial advice and solutions to clients including sales of life and disability insurance, annuities and investment management.
  • Led the sales of family financial products including life and disability insurance and investment and financial planning products.
  • Market and sell Life, Health, Disability insurance products, and Personal Retirement Services.
  • Received Outstanding First Year Agent Sales Award and Top Disability Insurance Sales Award.
  • Led the Louisville Office in disability insurance sales in 2003.
  • Employed Series 6, 63, 65,7, and Life and Disability Insurance licenses in performance of functions.

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15. Life Insurance

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Here's how Life Insurance is used in Registered Representative jobs:
  • Analyze client financial information and determine appropriate recommendations for life insurance and investments
  • Maintain product knowledge in Life Insurance, Disability Income Insurance, Long Term Care Insurance, Annuities and investment solutions.
  • Achieved the strongest out of the box start in class, selling 10 life insurance policies within 30 days.
  • Retail selling all types of Life Insurance, Term, Permanent, Disability, Long-Term Care, Annuities.
  • Project lead with Transitions Solutions helping individuals with rolling over group benefits including 401ks and life insurance.
  • Focused on Individual Life Insurance sales and Employee Benefit sales, emphasizing on small and mid-sized employers
  • Promoted and explained the need for life insurance, health insurance, LTC insurance to individuals.
  • Specialized in 401K, Mutual Fund, Money Market, and Life Insurance plans.
  • Provide Life Insurance, Disability and Annuity policies through direct selling to clients.
  • Work with clients to find life insurance products that match needs and affordability.
  • Awarded the Star Producer status based on life insurance and annuity sales.
  • Experienced selling life insurance plans, mutual funds, annuities, etc.
  • Achieved over $9 million of life insurance sales and annuity sales.
  • Earned Series 7 Securities License and Series 66 Life Insurance License.
  • Presented investment and life insurance products based on their needs.
  • Commissioned sales of life insurance, annuities and mutual funds.
  • Obtained Series 6, Series 63 and Life Insurance licenses.
  • Provide life insurance recommendations Extensive network and event marketing to build clientele
  • Licensed Series 6 & 63 Educated families in financial and life insurance products to assist in financial plan development.
  • Assisted individuals and small businesses in planning and saving for their future Provided financial protection for families through life insurance

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16. Health Care

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Here's how Health Care is used in Registered Representative jobs:
  • Researched retirement topics including health care considerations and pension legislation to improve output.
  • Implemented a Qualified Sick Pay Plan for a major home health care company.
  • Handled clients' life, disability and long-term health care needs.
  • Plan administrator of Blue Cross group health care plan.
  • Career change to the health care field.

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17. Variable Annuities

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Here's how Variable Annuities is used in Registered Representative jobs:
  • Experienced in selling variable annuities and other insurance-related investment products.
  • Engaged in the sales and services of securities based products such as mutual funds, variable annuities, and variable life insurance
  • Invested over $5 million in four years into fixed annuities, single premium annuities, variable annuities and mutual funds.
  • Licensed registered representative (Series 6 & 63) responsible for marketing mutual funds, variable annuities, and IRA rollovers.
  • Utilized my Series 7 license to sell variable annuities and mutual funds to potential clients and clients.
  • Achieved new sales using investment vehicles such as mutual funds, variable annuities and fixed annuities.
  • Marketed Life, Disability, and Medical insurance, Mutual Funds, Fixed and Variable Annuities.
  • Licensed in 1984 to sell more complicated products such as mutual funds and variable annuities.
  • Worked with variable life, variable annuities, mutual funds, and pension plans.
  • Marketed life insurance, mutual funds, variable annuities, and group health plans.
  • Sell variable annuities, mutual funds and life insurance to new and existing clients.
  • Counseled and assisted clients with building portfolio of mutual funds and variable annuities.
  • Well versed in Life Insurance, Long Term Care Insurance and Variable Annuities.
  • Set up IRA's with variable annuities and life insurances.
  • Marketed First Investors proprietary mutual funds, term, whole, and variable lifeinsurance, along with variable annuities.

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18. Long-Term Care Facility

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19. Finra

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Here's how Finra is used in Registered Representative jobs:
  • Passed the national FINRA test and was granted a General Securities Representative Series 7 and Uniform Securities Representative Series 63 licensing.
  • Respond appropriately to questions or concerns in relation to investments, in accordance with FINRA / SEC guidelines.
  • Participated in compliance audits conducted by the firm and the Financial Industry Regulatory Authority (FINRA).
  • Obtained FINRA Series 6 and 63 license along with life, health, and accident license.
  • Licensed financial adviser & insurance producer registered with both FINRA & the state of Massachusetts.
  • Completed FINRA Series 6 and 63 training and exams while working two part-time jobs.
  • Attained FINRA Series 6 and Series 63 certifications for registered life and health insurance.
  • Completed annual coursework and testing of the FINRA Bank Secrecy Act and Anti-Money Laundering.
  • Attained FINRA licensing to advise on retirement plan design and provided processing support.
  • Obtained series 6 and 63 FINRA licenses well ahead of expected time.
  • Facilitated FINRA Series 6 and 63 license preparation training.
  • Trained for and passed FINRA Series 6 Certification.
  • Ensured client relations met FINRA compliance codes.
  • Obtained FINRA Series 6 certification.
  • Registered Representative, FINRA Series 6 and 63, in the states of NY and NJ.
  • Obtained FINRA Series 6, Series 63, and Connecticut Life Licenses.
  • License's previously held; FINRA Series 7 and 63.
  • Facilitated group huddles to inform the team of changes in company or Finra/SEC policy.
  • Acquired Finra Series 7 & Series 63 licensing.
  • Managed Stock Accounts for individual and corporate clients in compliance with all SEC and FINRA rules and regulations !

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20. Nasd

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Here's how Nasd is used in Registered Representative jobs:
  • State Farm Insurance Company - SEC/NASD Registered Representative
  • Licensed to sell securities by NYSE and NASD and the states of Arizona, Massachusetts, New Mexico, and California.
  • Offered advice on how to invest wisely and executed trades on behalf of clients on the NASDAQ and NYSE.
  • Received NASD registration Series 7, 63 and State of Ohio registration for Life/Health insurance and variable annuities.
  • Earned NASD Series 6 and Series 63 licenses and Life Underwriting Training Council Fellowship (LUTCF) designation.
  • Remained current with new tax laws, NASD requirements, insurance rules and regulations and estate planning.
  • Completed the National Association of Securities Dealers (NASD) Series 6 and 63 licensing examinations.
  • Evaluated, presented, and manage solutions in alignment with client needs and NASD requirements.
  • Served as an insurance agent and registered representative with the NASD and State of California.
  • Licensed to sell all NYSE, NASDAQ, and CBOE regulated financial products.
  • Executed stock sales on NASDAQ.
  • Proofed journals for SEC/NASD compliance.
  • Acquired NASD series 22&63 securities licenses in less than 1 month.
  • Registered with Ohio Department of Insurance, the NASD, and the SEC.
  • Earned NASD Series 6, NASD Series 63, life and health licenses.
  • Maintained Series 6, 63 and 7 NASD licenses with the NASD.
  • Scored 96% on NASD series 7 exam.
  • Passed NASD Series 7 and 63 exams.
  • Registered NASD series 7 and 63.
  • Developed best practices to be in compliance with SEC and NASD and customer confidentiality.

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21. High NET

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Here's how High NET is used in Registered Representative jobs:
  • Excelled as a sales agent turning high net worth strangers into leads, leads into prospects, and prospects into clients.
  • Worked exclusively with high net worth individual accounts specializing in option trades and advising on sound investment procedures and basic safeguards.
  • Developed and implemented engagement strategy for high net wealth team that resulted in 10% improvement of engagement results.
  • Help to maintain and communicate with Private client group accounts for special needs of high net worth international clients.
  • Developed long-term profitability and cash flow models for high net worth individuals ($2-5 million estates).
  • Secured new investments for our high net worth clients and built relationships based on trust and respect.
  • Managed the operations and process of mutual funds of high net worth clients of mutual funds.
  • Exceeded sales and investment revenue goal and develop relationships with high net worth clientele with 100k+.
  • Practice geared to high net worth, business owners, professionals, and corporate executives.
  • Establish and build new clientele, focusing on business owners and high net worth individuals.
  • Developed high net worth and active trader client accounts throughout the state of Florida.
  • Raised over $5,000,000 in investment funds mostly from high net worth individuals.
  • Analyzed portfolios of high net worth clients to determine suitability of IPO offerings.
  • Provide internal sales support by passing high net worth prospects to retirement consultants.
  • Raised several million dollars through networking with high net worth individuals.
  • Marketed investment products and services suitable for high net worth clients.
  • Work with business owners and high net worth individuals.
  • Attained and uncovered assets in high net worth clients.
  • Served as a personal account executive for Schwab's high net worth customers on the Platinum Team.
  • Register Series 7 Representative Managed High Net Worth accounts trades in equities, bonds and options.

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22. Business Development

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Here's how Business Development is used in Registered Representative jobs:
  • Tailored efforts for new business development to focus primarily on seniors/Estate Planning and marketed practice via special retiree only seminars.
  • Provided telephone support for existing and prospective clients primarily focused on investments, trading, and business development.
  • Participated in new business development through targeted direct mail campaign, effective telemarketing and networking.
  • Created innovative and distinctive direct mail, telemarketing, seminar and business development campaigns.
  • Created business development model to ensure team consistency in gaining more corporate assets.
  • Provided financial business development and advisory services to individuals, families and businesses.
  • Placed trades, provided investment education, and uncovered business development opportunities.
  • Uncovered business development opportunities to increase company asset base.
  • Explore and solicit new prospects utilizing business development strategies.
  • Leveraged business development skill to bring in over $10 million in assets within a three month incentive promotion.
  • Worked with a team of 8 Reps and acted as the business development SME for the team.
  • Surpassed customer retention and business development goals by building client base to more than 225.
  • Increased client base through the creation and execution of effective business development strategies.
  • Top 1% in business development for Spring Campaign.
  • Team leader in business development and banking conversions.
  • Initiate and conduct business development both internally and externally Utilize contact management software program to manage client and prospect relationships.
  • Worked on a team servicing all aspects of this groups investment needs, as well as conducting outbound business development campaigns.
  • Developed a client base through various methods of business development including cold calling, market research, and networking.
  • Broker Team Leader/Supervisor for oil and gas program New business development/Sales - meetings with upper management to discuss growth
  • dentified clients' financial needs through business development and passed opportunities to internal business partners.

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23. Risk Tolerance

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Here's how Risk Tolerance is used in Registered Representative jobs:
  • Performed financial analysis to assist customer's in making sound financial decisions based upon risk tolerance.
  • Assessed risk tolerance and investment/risk-management goals to recommend solutions optimally suited to client needs.
  • Qualified shareholder's investment objectives, risk tolerance, and suggested appropriate investment alternatives.
  • Provide recommendations based on prospects objectives and risk tolerance.
  • Develop strategies and planning to overcome current shortfalls and customize a financial plan based on clients risk tolerance and other factors.
  • Assessed needs given individuals personal risk tolerance and total time horizon until they reach retirement to determine their investment style.
  • Analyzed investment suitability and risk tolerance, and developed wealth accumulation and wealth transfer strategies according to client goals.
  • Acquired better understanding of which type of investments I should use for clients with different risk tolerance.
  • Perform a comprehensive analysis to establish goals, holdings, standard of living objectives and risk tolerance.
  • Helped identify clients long term goals, analyzed life insurance needs & gauged their risk tolerance.
  • Review clients' portfolios and policies, assessing for changes in objectives and risk tolerance.
  • Determined each clients risk tolerance to stocks, mutual funds, bonds and options.
  • Interviewed prospective and existing clientele to assess their financial needs and risk tolerance.
  • Conducted extensive interviews to ascertain financial needs, time horizon and risk tolerance.
  • Provide clients with sound financial advice consistent with client goals and risk tolerance.
  • Identify client needs, objectives and risk tolerance.
  • Determined risk tolerance and long-range goals.
  • Qualified shareholders investment objective, risk tolerance and time horizon to assist them in choosing appropriate investment allocations.
  • Assisted financial advisors in assessing clients risk tolerances and identifying new market opportunities to expand/grow portfolio.
  • Determine risk tolerance and recommend appropriate Investments.

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24. Financial Advisor

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Here's how Financial Advisor is used in Registered Representative jobs:
  • Supervised a team of financial advisors in providing service to clients and assisted walk-in shareholders with investment information and advice.
  • Developed relationships as a financial advisor and utilized various financial products to help clients achieve their financial goals.
  • Communicated with Financial advisors to ensure transactions were handled properly.
  • Developed relationships with attorneys, accountants and other financial advisors.
  • Assisted Financial Advisors with marketing efforts including investment seminars.
  • Recruited and trained financial advisors and marketed financial services.
  • Referred managed accounts to Financial Advisor.
  • Supported inbound phone calls from brokerage clients, Financial Advisors, internal and external associates by researching and resolving customer disputes.
  • Work with financial advisors to analyze client's financial goals and recommend the right investments to achieve those goals.
  • Recruited by the company to manage an independent Financial Advisor's book of business in excess of $60M.
  • Collaborate with the Financial Advisor and the Marketing department to develop marketing strategies to promote the program.
  • Succeeded in generating network to keep pace with 4-6 sit down meetings with prospective Financial Advisor clients.
  • Learned the processes, roles, and methods of becoming and being a Financial Advisor.
  • Completed Series 7 and Series 63 exams for stock brokers and financial advisors.
  • Performed the duties of a general securities broker and financial advisor.
  • Assisted an experienced financial advisor with his client book of business.
  • Back office duties for the financial advisors and personal bankers.
  • Participated in the First Investors Financial Advisor training program.
  • Assist Financial Advisor in deciphering new and existing client's investment objectives and identify needs for professional account management.
  • Studied for Series 66 examination In house training by a Senior Financial Advisor Qualified potential clients through outbound sales calling

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25. Charles Schwab

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Here's how Charles Schwab is used in Registered Representative jobs:
  • Facilitated communication between Charles Schwab and customers in Retail Client Service division.
  • Traded them out when necessary to achieve account safety for the customer and for Charles Schwab & Co., Inc.
  • Employed with Charles Schwab for only six months due to company wide downsizing.
  • Registered Representative and Broker for Charles Schwab in a very busy call center.
  • worked in Charles Schwab's active trader and have solid overall knowledge of stock market.

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26. New Accounts

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Here's how New Accounts is used in Registered Representative jobs:
  • Established new accounts and provided customer service for a nationally recognized brokerage firm.
  • Presented additional insurance/investment products to established accounts and developed new accounts.
  • Solicited and opened new accounts and serviced existing accounts.
  • Introduce and cross sell retirement plans to existing Small Business customer base, as well as develop new accounts sales.
  • Developed approximately 35 new accounts and played an integral role in a 15% increase in senior broker's revenue
  • Establish project requirements, including marketing plans, to obtain new accounts, schedules and budgets.
  • Developed relationships with businesses, and individuals, in order to build new accounts.
  • Raised millions of dollars through the sales process of cold-calling and presenting new accounts.
  • Processed all new accounts transactions and loans; referring to specialists when needed.
  • Opened new accounts, transferred funds, wired funds, etc.
  • Assist in Sales & New Accounts to open Live accounts.
  • Developed new accounts via website and personal referrals.
  • Generated $1.8 million in new accounts.
  • Open new accounts and process account transfers.
  • Opened 5 new accounts per month.
  • File and Open new accounts.
  • Opened 40 new accounts in 2 months.
  • Develop and manage new accounts for individuals and businesses Prepared recommendations for additions and modifications to existing insurance and retirement programs
  • Licensed to produce and sell Life Insurance and securities -Responsibilities include new accounts, client meetings, and maintaining paperless system
  • Executed trades and opened new accounts on Citibank's new online brokerage division called Cititrade.

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27. Financial Objectives

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Here's how Financial Objectives is used in Registered Representative jobs:
  • Developed knowledge of complex financial instruments and successfully communicated strategies for utilizing various securities in achieving client financial objectives.
  • Answered client's questions analyze financial information to determine strategies and made recommendations for meeting financial objectives.
  • Cultivated and maintained existing relationships with clients to provide investment vehicles designed to meet financial objectives.
  • Committed to advising institutional investors meet their financial objectives using various bonds and mortgage-backed securities.
  • Analyzed financial information obtained from clients to determine strategies for meeting their financial objectives.
  • Develop Investments Portfolio based on financial objectives and customer risks profile.
  • Presented product recommendations that met specific financial objectives.
  • Recommended suitable investments based on financial objectives.
  • Demonstrate outstanding client service and support by continuing to assist current clients' achieve their changing financial objectives
  • Assisted clients to formulate financial objectives; conduct asset reviews; and design and implement investment strategies.
  • Determined best plan to adopt to meet clients financial objectives while reducing risk and maximizing potential gain
  • Worked directly with clients to set up investment portfolios to meet specified financial objectives.
  • Serviced clients' financial objectives through a wide range of investment vehicles.
  • Maintained regular contact with clients to ensure alignment with financial objectives.
  • Opened accounts and made recommendations based on clients financial objectives.
  • Identified and clarified clients' financial objectives and goals.
  • Assessed their financial objectives and goals.
  • Qualified clients based on financial objectives.
  • Analyze financial information detailed from clients to determine strategies, products and services to help clients meet their financial objectives.
  • Solicited potential clients for investment Qualified clients based on financial objectives Recommended suitable investments based on financial objectives

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28. Investment Plans

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Here's how Investment Plans is used in Registered Representative jobs:
  • Developed proper investment plans meeting short- and long-term goals and successfully integrating company products into financial investment solutions.
  • Construct highly personalized investment plans to address individual financial concerns.
  • Created and implemented retirement and other goal-oriented investment plans.
  • Developed retirement and investment plans for educators and others.
  • Analyzed individual portfolios, priorities and goals in a one on one approach to develop appropriate insurance and investment plans.
  • Designed and executed investment plans tailored to the client's investment experience, financial objectives, and risk tolerance.
  • Provide required information to clients and recommend on sale or purchase financial services, securities and investment plans.
  • Provided clients with advice on the purchase or sale of securities, financial services and investment plans.
  • Advised clients in creating long term retirement investment plans as an alternative to 401K policies.
  • Trained in life insurance products, investment plans for retirement, college planning, etc.
  • Developed investment plans for all clientele with specific strategies for growth and retention.
  • Advised clients and created investment plans based on long- and short-range financial objectives.
  • Develop investment plans based on the needs of a specific client.
  • Managed insurance and investment plans for 185 new and inherited clients.
  • Advise clients yearly or more frequently as needed of portfolio status and make strategic investment plans for the future.

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29. Financial Situations

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Here's how Financial Situations is used in Registered Representative jobs:
  • Collaborated with clients to asses individual financial situations and develop strategic financial planning solutions.
  • Analyzed individuals' financial situations and created appropriate investment portfolios.
  • Determined solutions through understanding of complex financial situations.
  • Led efforts to perform analyses that evaluated financial situations and results, which aided in enhancing the investment and insurance portfolio.
  • Consult with clients to delineate and analyze their financial situations and develop strategic solutions to meet goals from financial planning.
  • Counseled clients as to advisability of particular investments as they related to the clients' financial situations and goals
  • Determined clients' needs and financial situations by assessing current coverage and investments and ascertaining long-term goals.
  • Provided service, trading, and guidance to clients concerning their individual financial situations and decisions.
  • Consulted with clients to analyze their financial situations and developed solutions to further their financial goals.
  • Provided financial updates and reviews to existing clients to meet changes in their financial situations.
  • Assessed member's financial situations and goals and made appropriate financial product recommendations.
  • Assisted prospective clients and new associates in resolving and improving financial situations.
  • Worked extensively with clients one on one to evaluate personal financial situations.

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30. Phone Calls

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Here's how Phone Calls is used in Registered Representative jobs:
  • Handled client correspondence for the company, answering phone calls, emails and any other client inquiries regarding their accounts.
  • Establish new and repeat business by developing professional relationships, telephone calls, direct mailers, referrals and seminars.
  • Cultivated relationships with potential, accredited investors over the phone, making upwards of 500 phone calls daily.
  • Provided client support by answering inbound phone calls regarding accounts, policies, services and available products.
  • Answer customer phone calls, inquiries and place stock trade orders in an inbound call center system.
  • Assisted with client administrative tasks including applications, forms, phone calls, customer relationship management.
  • Handled large volume of walk in clients and phone calls at a busy branch office.
  • Answer incoming telephone calls from customers and internal associates regarding new or existing accounts.
  • Respond to Shareholder inquiries in writing and through phone calls.
  • Answer phone calls and direct them in order of priority.
  • Fielded incoming phone calls from clients and financial executives.
  • Interacted with clients via inbound and outbound phone calls.
  • Handle 25 - 40 phone calls per day for GSPS, as well as for the Firm's Directed Share Program product
  • Acquired Series 7 and Series 63 certifications Made business development phone calls using cold and warm leads
  • Registered representative on "Night Vision" team, handling phone calls during non-business hours without immediate back office support.

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31. Business Owners

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Here's how Business Owners is used in Registered Representative jobs:
  • Provided comprehensive financial planning for C-Level managers, with primary emphasis on business owners, professionals and corporations.
  • Design, and install retirement plans in consultative sales process with business owners/executives.
  • Required to understand business ownership, marketing, relationship building, and maintenance
  • Provided employer-sponsored health insurance and retirement plans to small-business owners.
  • Target markets included affluent individuals and small business owners.
  • Managed operations while marketing investments, insurance products and private placement securities to clients and small-business owners throughout the Dallas area.
  • Help families and business owners maximize their saving for retirement, college funding, insurance as well as other financial services.
  • Gained a great understanding of small business owners, their needs and struggles and discovered viable solutions to help them.
  • Provide individuals, families and business owners with insurance and investments to help protect and secure their financial futures.
  • Maintained book of business through referrals and personal contact with extensive network of individuals and small business owners.
  • Lead generation & client development: Initiate contact and develop relationships with business owners and key people.
  • Prospect for business through network groups, personal contacts and cold calling small business owners.
  • Worked with wills, trusts, inheritance and estate tax analysis for business owners.
  • Created sound financial planning solutions for individuals, families and small business owners.
  • Counseled individuals and business owners in the areas of insurance and investing.
  • Aided small business owners and families in protecting assets and wealth accumulation.
  • Worked with Small Business Owners on Business Succession Plans.
  • Conduct presentations to clients and business owners.
  • Utilized a consultative sales approach for individuals, business owners, and employee benefits coordinators !
  • Provide multi-line insurance products and customer service for small business owners and families.

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32. Market Conditions

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Here's how Market Conditions is used in Registered Representative jobs:
  • Led the education of all financial representatives on financial services products in the portfolio including summarizing economic and market conditions.
  • Facilitated client discussions involving market conditions, inputting trades, reviewing account information, and providing prevalent market education.
  • Monitored and evaluated market conditions and provided fundamental and technical analysis to fixed income clients.
  • Monitor market conditions and media announcement affecting the financial industry.
  • Implement financial strategies by analyzing investments and market conditions.
  • Monitored market conditions to manage optimal portfolio health.
  • Delivered equity, mutual fund, options, and fixed income trading and all inquiries on market conditions.
  • Apply knowledge of securities, investment plans, market conditions, regulations, and financial situation of clients.
  • Maintained contact with clients to keep them apprised of current market conditions and possible appropriate portfolio adjustments.
  • Presented data to clients about market conditions and risk associated with financial markets for better understanding.
  • Advised customers about stocks, bonds, mutual funds, commodities, and market conditions.
  • Analyzed declining market conditions to originate discerning rebuttals, increasing my contacts by 5%.
  • Discussed risk, market conditions, as well as reviewed current financial position of clients.
  • Updated clients on current events, products, environment changes, and market conditions.
  • Analyzed market conditions and trends, recommending product solutions aligned with client goals.
  • Keep up with market conditions, relevant financial and economic outlook.
  • Researched and wrote two daily reports detailing current market conditions.
  • Answered client questions regarding current market conditions and quotes.
  • Analyze market conditions to determine optimum times to execute securities transactions.
  • Analyzed and forecasted market conditions.

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33. Retirement Accounts

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Here's how Retirement Accounts is used in Registered Representative jobs:
  • Assisted clients in evaluating different types of retirement accounts, understanding basic tax concepts and considering relevant estate planning scenarios.
  • Provided professional quality customer service for Corporate and Individual Retirement Accounts and 401K Plans.
  • Assisted clients with asset reallocation in individual brokerage and retirement accounts.
  • Placed equity, fixed income, mutual fund and option trades in brokerage (cash and margin) and retirement accounts.
  • Design and establish individual retirement accounts, qualified pensions, profit sharing and 401k, 403b and 457 Deferred Compensation plans.
  • Provided customer service for retirement accounts, including the resolution of complex issues and following-up with clients.
  • Offered consulting and guidance for clients Traditional, Roth and 401 K Tax Retirement accounts.
  • Advised clients on Federal and State regulations which pertained to Retirement Accounts and 401k's.
  • Acquired knowledge of fee structures, tax issues and individual benefits of various retirement accounts.
  • Assisted via phone clients in trading and managing their 401k retirement accounts.
  • Organized and established 403(b) retirement accounts for Dept.
  • Create retirement accounts with cash value life insurance as a foundation.
  • Open, service Retirement accounts, & calculate minimum distributions.
  • Managed over $100,000 in new client retirement accounts.
  • Make recommendations to clients with retirement accounts.
  • Serviced and advised large group retirement accounts.
  • Maintained client portfolios Performed advisory services for retirement accounts
  • Set up more than 100 403B retirement accounts for education clients Arranged and coordinated financial presentation seminars for school groups
  • Direct insurance/annuity/mutual fund sales to individuals for both taxable and retirement accounts in the Lynchburg, VA market.
  • Educated potential clients Customized retirement plans to meet their ideal goals Serviced existing retirement accounts

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34. Risk Management

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Here's how Risk Management is used in Registered Representative jobs:
  • Earned a LUTCF designation passing disability risk management courses, implementation of pension programs and advanced estate planning techniques.
  • Focused primarily on risk management and client relationship management with focus on options and derivatives trading.
  • Demonstrated effective risk management techniques by limiting non-public information from being disseminated through email communications.
  • Prepared financial plans addressing various investment, risk management and tax planning alternatives.
  • Conducted portfolio analyses and asset allocations while examining risk management with trader clients.
  • Developed client specific risk management plans using insurance and financial tools.
  • Identified goals and presented brokerage services for optimal risk management.
  • Retail clients with emphasis on risk management and portfolio diversification
  • Analyzed portfolios utilizing asset allocation and risk management techniques.
  • Developed risk management plans to mitigate short-term & long-term disabilities, cognitive impairments, or premature loss of life.
  • Provide financial planning solutions in the areas of asset management, risk management, and retirement planning.
  • Provided financial planning, retirement planning, education financing, risk management, estate planning expertise.
  • Facilitate cross training on risk management and margin issues for other teams in Institutional Trading.
  • Helped client's with investment analysis, risk management, trade issues, and advice.
  • Maintained full P & L, risk management, payroll and advertising responsibilities.
  • Assist in all areas of risk management as well as in compliance.
  • Performed investment analysis to handle risk management and drive client portfolio growth.
  • Set realistic financial and risk management goals.
  • Provide businesses and individual households with comprehensive risk management and financial planning strategies.
  • Provide risk management and support to independent Investment Advisors with total $233 billion in assets.

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35. Financial Strategies

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Here's how Financial Strategies is used in Registered Representative jobs:
  • Helped clients accomplish financial objectives by assessing financial situation; developed and presented financial strategies and plans.
  • Profiled and analyzed investment products to develop customized financial strategies for clients' financial needs.
  • Developed and maintained business relationships with an emphasis on reviewing clients' financial strategies.
  • Developed advanced financial strategies while championing sales integrity.
  • Educate, create and implement custom financial strategies that efficiently accumulate and protect wealth with each client s available resources.
  • Prospected individuals and businesses with financial needs developing and implementing financial strategies unique to each client's needs and goals.
  • Implement long term financial strategies and solutions through retirement planning, estate planning, college savings, and investments.
  • Offered products including mutual funds and insurance financial strategies that best fit client's needs and goals.
  • Utilized financial strategies learned while obtaining his B.S.in Biochemistry, Finance and Economics at SUNY Buffalo.
  • Worked with new and existing clients on designing insurance and financial strategies to fit their needs.
  • Develop customized financial strategies with tools & resources to address each clients' financial goals.
  • Implemented financial strategies and updated client contact on a consistent basis.
  • Consult with clients to customize financial strategies using individual risk tolerances.
  • Review accounts to determine if life changes necessitate new financial strategies.
  • Design financial strategies and assist clients in making informed decisions.
  • Created financial strategies for clients to meet their financial goals.
  • Develop and recommend financial strategies based on client need.
  • Propose and place appropriate financial strategies.
  • Registered Representative Provide wealth protection, asset management and financial strategies to clients through a broad range of products and services.
  • Recommended financial strategies and products focused on client's needs and goals.

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36. Market Research

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Here's how Market Research is used in Registered Representative jobs:
  • Conducted market research and established target markets for telemarketing and direct mailings to achieve sales objectives.
  • Constructed innovative marketing plan based on market research for potential target segments.
  • Conduct market research to identify product opportunities.
  • Conducted market research and established target
  • Conducted market research and performed a competitive analysis of select 40 Act Registered Mutual Funds.
  • Use spreadsheets and market research to back up financial advice.
  • Provided market research to other investment consultants in my region.
  • Stock quotes and market research per client requests.
  • Provided periodic, customized internal market research for department managers.
  • Conducted statistical and documental market research on target segments.

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37. Iras

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Here's how Iras is used in Registered Representative jobs:
  • Advised and developed portfolios for new clients through the sale of mutual funds, IRAs, annuities and life insurance.
  • Explored ways of earning competitive rates of return through profit sharing plans, payroll deducted IRAs and SEP programs.
  • Specialized knowledge in life, health, disability and long-term care insurance, as well as IRAs and annuities.
  • Direct business-to-business sales of benefit packages for employees and executives (IRAs, 529 plans, 401k).
  • Managed retirement funds, IRAs, Mutual Funds as well as various portfolios for individuals and corporations.
  • Prepared financial plan for clients using mutual funds, IRAs and other insurance products.
  • Offered Life, Health, Disability and Long Term Care Insurance, Annuities, IRAs, 529 plans and mutual funds.
  • Set up IRAs and allocated 401(k) rollover monies.
  • Provided service in area of Life Insurance, Annuities, Mutual Funds, IRAs and Retirement Strategies.

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38. Sales Goals

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Here's how Sales Goals is used in Registered Representative jobs:
  • Achieved revenue goals by meeting/exceeding assigned premium sales goals and generated profitable revenue.
  • Achieved significant increases in sales goals above original marketing expectations.
  • Obtained Circle of Excellence six quarters in a row through excellent client surveys and exceeding sales goals.
  • Developed and implemented successful sales campaigns that exceeded sales goals by 25%, quarter over quarter.
  • Applied planning, tracking, analysis and recognition of monthly sales goals to monitor deviations and targets.
  • Established and achieved first year sales goals in life insurance and annuity sales.
  • Earned several awards for exceeding monthly, quarterly, and annual sales goals.
  • Managed team of 6 employees to exceed sales goals and increasing revenues.
  • Elected to the Allstate Century Club in recognition of exceeding sales goals.
  • Surpassed sales goals of increased number of clients and assets under manage.
  • Reached sales goals five out of first seven months of bonus eligibility.
  • Maintain sales goals and increase revenue for all lines of business.
  • Exceeded sales goals while maintaining strong customer service and customer loyalty.
  • Retained and strengthened existing relationships to meet and exceed sales goals.
  • Reached sales goals three out of three quarters of bonus eligibility.
  • Earned multiple awards for meeting sales goals.
  • Consistentlyexceeded firm sales goals and stayed in top half of all branch employees by second year.
  • Assisted Clients with financial decisions Achieved the Superstarter award for meeting sales goals.
  • Achieved "Super Starter" status by consistently exceeding sales goals during training period.

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39. Financial Needs

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Here's how Financial Needs is used in Registered Representative jobs:
  • Engage with clients to accurately assess financial needs, identify solutions and present appropriate investment recommendations.
  • Completed comprehensive financial reviews for individuals and businesses through financial needs analysis.
  • Determined customers' financial needs and prepared proposals.
  • Performed financial needs analysis and implemented solutions.
  • Trained in analyzing personal financial needs.
  • Maintain good standing relationships with current clients always pursuing best case scenarios for their current and future financial needs.
  • Analyze clients personal and financial information to determine a sound strategy to meet their current and future financial needs.
  • Conducted financial needs analysis and made appropriate recommendations for savings, retirement and insurance or investment needs for clients.
  • Analyzed client current financial status and made recommendations to better prepare them for retirement and their future financial needs.
  • Evaluated the financial needs of the clients, prepared solutions, and presented recommended options.
  • Serviced clientele by ascertaining clients' financial needs in order to make suitable recommendations.
  • Conducted financial needs analysis and recommended appropriate products to meet clients' needs.
  • Created personalized profiles to fit the financial needs of new and existing clients.
  • Developed strategy to meet the financial needs of clients through prospecting and referral sources
  • Worked with customers on their Financial needs, Investments and Insurance needs.
  • Analyzed financial needs and formulate investment solutions for their needs.
  • Presented to clients on appropriate solutions to their financial needs.
  • Assessed individuals' financial needs and investment objectives.
  • Full service stockbrokerage firm provided sales and service suited to client's personal financial needs.
  • Conduct financial needs analysis and recommend appropriate solutions to meet client needs Deliver informational sales presentations to High Net Worth clients

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40. Insurance Companies

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Here's how Insurance Companies is used in Registered Representative jobs:
  • Acquired additional independent contracts with other insurance companies for product diversification.
  • Verified benefits and received prior authorization and referrals from varies insurance companies and collection of copayments and deductibles.
  • Give an extra helping hand to patients.Skills UsedComputer knowledge, obtaining authorizations from insurance companies

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41. Wealth Management

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Here's how Wealth Management is used in Registered Representative jobs:
  • Provide administrative support to a team of Registered Representatives in the Wealth Management division.
  • Completed projects assigned to facilitate operations, gaining insight into wealth management services.
  • Maintain a compliant files and oversight for each corporate 401 (k)/403 (b) and Wealth Management Clients.
  • Contacted high net-worth individuals creating prospects and clients * Mentored under senior broker working with his clients and Wealth Management
  • Developed a comprehensive financial plan to maximize client wealth management strategies, ensure liquidity, and address all liabilities.
  • Deliver superior service to Morgan Stanley Wealth Management clients including Reserved households with greater than $1M invested.
  • Obtained and managed insurance clients as well as wealth management and retirement planning portfolios for clients.
  • Hired to represent TD Wealth Management during closure of TD Bank Wealth Management Broker Dealer.
  • Marketed and sold appropriate investment products, financial and wealth management services to clients.
  • Provided wealth management solutions that accounted for $3 million in assets per year.
  • Specialized in estate planning, small business retirement plan implementation, and wealth management.
  • Performed Wealth Management functions for High Net Worth clients of Citigroup.
  • Introduce high net-worth clients to TD Wealth Management Private Investment Council.
  • Provided wealth management services to individuals and businesses under H.D.
  • Educated high net wealth active trader clients in regards to trading strategy, rules, wealth management and taxes.

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42. Financial Statements

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Here's how Financial Statements is used in Registered Representative jobs:
  • Branch office Equity Analyst, translated complex financial statements into actionable information for Customers and Management.
  • Created personal financial statements and developed investment strategies through financial needs analysis profile.
  • Skilled at analyzing financial statements and making recommendations for improvement.
  • Analyzed financial statements, project reports, cost data, pricing, and managerial practices.
  • Research securities to determine value by analyzing financial statements, corporate filings and earnings reports.
  • Advanced understanding of financial statements, fixed and variable costs, and general accounting principles

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43. Financial Solutions

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Here's how Financial Solutions is used in Registered Representative jobs:
  • Obtained information about the concerns of individuals, families and business entities to develop appropriate financial solutions.
  • Offer a personalized approach to providing customized financial solutions tailored to each client's individual needs.
  • Marketed to professionals and high income clients and developed financial solutions for their retirement and tax situation
  • Provide financial solutions for retirement and offer family protection with life insurance.
  • Construct Financial Solutions implementing fixed and variable products like variable life insurance.
  • Offered financial solutions to individuals and families.
  • Provided financial solutions for business and families.
  • Registered Representative for Farmers Financial Solutions.
  • Direct the sales efforts of a team of professionals that has a can-do attitude in delivering financial solutions to their clients.
  • Assisted clients with asset protection, and individualized financial solutions through all phases of retirement, estate and business planning.
  • Managed over 200 individual investment and insurance accounts * Provided needs-based analysis and financial solutions to help ensure clients' needs
  • Analyzed needs and proposed financial solutions designed to satisfy client's goals and implemented the financial plan of choice.
  • Leveraged business knowledge to determine prudent and appropriate strategy to meet client's needs by recommending financial solutions.
  • Provided financial solutions based on financial needs analysis through; fixed and variable products and services.
  • Generate a pipeline through cold calling business owners and setting meetings to present financial solutions.
  • Educate people about money and finance and recommend/implement financial solutions that meet their needs.
  • Maintained knowledge of market trends in order to deliver best practice financial solutions.
  • Utilized strong planning and analytical skills to successfully develop financial solutions in the area of Estate Planning and Portfolio Management.
  • Developed individual insurance and financial solutions for clients based on in-depth interviews and analyses !

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44. Cold Calls

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Here's how Cold Calls is used in Registered Representative jobs:
  • Conducted over 200 cold calls per week to drive additional business (residential and commercial).
  • Prospected the market, executed 100 cold calls a week, and developed new business.
  • Developed national client base by marketing securities to high net worth individuals through cold calls.
  • Solicited book of business through cold calls, referrals, and door-to-door sales.
  • Conducted 200 cold calls per day average to corporate and senior level executives.
  • Set goals and meet clients through cold calls and referrals.
  • Pursued new business through cold calls and referrals.
  • Gained experience with cold calls.
  • Performed cold calls for Prospective Accredited Investors Connected Accredited clients with the Senior Broker Attended the Series 7 training with RegEd

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45. Customer Accounts

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Here's how Customer Accounts is used in Registered Representative jobs:
  • Trained and assisted new registered representatives with any questions or problem related issues concerning customer accounts.
  • Manage customer accounts keeping information current and providing ongoing advice.
  • Generated and maintained new customer accounts.
  • Prospected and managed retail customer accounts.
  • Provided customer care by placing exchange and/or redemption transactions on customer accounts with strict adherence to company guidelines and best practices.
  • Utilized AS/400, ILX and ADP systems to maintain customer accounts and up-sell products and plans on non-commission basis.
  • Assisted in the area of Compliance making sure that advertising as well as customer accounts met FINRA regulations.
  • Coordinated and oversaw over 1,500 customer accounts (individually valued at total of over $1M).
  • Analyzed customer accounts, tracked profitability of revenue generated, and ensured accounts were NASD compliant.
  • Maintain high level of customer service including research and resolution of problems in customer accounts.
  • Traded stocks, bonds, options and mutual funds for Fidelity retail customer accounts.
  • Exceeded sale goals by retaining and growing existing customer accounts.
  • Aided in the planning and processing of customer accounts.
  • Placed security trades on behalf of customer accounts.
  • Transfer customer accounts to and from Merrill Lynch.
  • Provide general account services for customer accounts valued up to $1,000,000 Conduct investment activities in adherence to SEC rules and regulations
  • Serviced customer accounts in a regional call center Answered customer calls in a call center environment.

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46. Annuity Products

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Here's how Annuity Products is used in Registered Representative jobs:
  • Educated and sold clients products including Life Insurance, Long-term Care, Disability, Mutual Funds, and variable annuity products.
  • Helped clients develop and reallocate retirement and retail variable accounts through mutual funds, mutual insurance, and variable annuity products.
  • Acquired over $1million dollars of assets under management invested in mutual funds, money markets and annuity products.
  • Helped clients achieve their financial goals by implementing appropriate financial plans through the use of insurance and annuity products.
  • Traveled to clients home or business to market & service life insurance contracts, mutual funds and annuity products
  • Educated and advised clients on a wide variety of life insurance, long-term care, and annuity products.
  • Provided clients and business-owners with insurance and annuity products to help them achieve their financial goals.
  • Provide insurance, mutual funds and annuity products to 24,000 credit union members.
  • Offer no-load mutual funds, annuity products and insurance.

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47. Investment Accounts

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Here's how Investment Accounts is used in Registered Representative jobs:
  • Advised individual customers on technical analysis as well as risk-management for their personal investment accounts.
  • Acquired and managed individual and corporate investment accounts.
  • Assisted shareholders with investment accounts and discussed mutual fund products based on suitability, risk tolerance, and long term goals.
  • Developed and managed municipal bond, debt, retirement (IRA) and personal investment accounts for clientele.
  • Service and advise on life and investment accounts for Foresters members throughout the state of Kansas.
  • Added new clients to my book of business and servicing current clients' investment accounts.
  • Managed financial assets of over $10 million for domestic and international investment accounts.
  • Developed investment accounts for bank customers, sold mutual funds and annuities.
  • Licensed Series 7 investment adviser handling investment accounts for individuals and companies.
  • Analyzed and assessed high profile consumer and investment accounts.
  • Prospected potential clients and servicing their investment accounts.
  • Marketed and sold insurance policies and investment accounts.
  • Authorized vendor for tax-sheltered annuities, investment accounts and mortgage originations.
  • Owned and operated an O.S.J, Off Jurisdiction Office, while prospecting new clients and servicing clients' investment accounts.
  • Used professional selling skills to move customers from external investment accounts to Schwab services.

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48. New Assets

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Here's how New Assets is used in Registered Representative jobs:
  • Participated as team manager resulting in recognition as top productive service team for new assets, customer service, and quality.
  • Increased team scores by being pro-active, scoring 85% and above in generating new assets for firm.
  • Promoted client development through inbound and outbound calling campaigns adding several million dollars in new assets.
  • Developed business leads resulting in acquisitions of more than $3.5 million in new assets.
  • Cold-called clients, gathered new assets, placed trades, and assisted senior brokers
  • Developed over 4.7 million dollars of new assets under management.
  • Generated $18.5M in new assets for the year of 2006, and $35.5M for 2007.
  • Generated $5,000,000 in new assets for four consecutive quarters through the cross-sale of Schwab products and services.
  • Managed accounts with assets exceeding five hundred thousand i Solely responsible for generating one million in new assets.
  • Promoted client development through PSS "quality conversation", resulting in $5,000 in new assets per hour worked.

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49. New Agents

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Here's how New Agents is used in Registered Representative jobs:
  • Mentored new agents entering business.
  • Included hiring/training of new agents and sale of health/life insurance, pension plans, annuities, and Estate Planning.
  • Led the class of new agents winning the prestigious Executive, New Associate, and Case Rate Awards.
  • Assisted new agents during their on-boarding process in initial client meetings, proposal development and client presentations.
  • Developed my own book of business while hiring and training new agents into the business.
  • Direct sales to companies and individuals, recruited, mentored new agents.
  • Educate new agents on the importance of business ethics and product specifics.
  • Collaborated with 75 insurance carriers and recruited and trained new agents.
  • Trained and educated new agents on Financial and Retirement Planning.
  • Coached new agents unfamiliar with current insurance products.
  • Prospect and recruit new agents to the firm.
  • Assist with the education of new agents.
  • Assisted new agents in training process.
  • Assigned to field train new agents.
  • Recruited and trained new agents.
  • Developed book of business by prospecting and building relationships resulting in production that leads all new agents during 2014-2015 fiscal year.
  • Implemented a tele-marketing training program for new agents resulting increased retention of first year agents by 25%.
  • Managed and trained office staff for administrative and sales duties Assisted my District Manager with training of new agents
  • Ranked in top 5 of all new agents within 1st 3 years in several different product lines.
  • Lead resource trainings to familiarize new agents with the systems and processes of the broker-dealer.

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50. Client Portfolios

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Here's how Client Portfolios is used in Registered Representative jobs:
  • Maintained new and existing client portfolios and provided value-added strategic advice to satisfy client needs based upon their individual investment objectives.
  • Implemented properly allocated client portfolios by asset class and investment objectives.
  • Formulated asset allocation strategies for client portfolios to protect their investments.
  • Provided prudent and tactful investment recommendations for firm/client portfolios.
  • Managed client portfolios to maximize return while maintaining appropriate levels of acceptable risk and conformed to industry compliance standards.
  • Review and monitor client portfolios, recommending appropriate changes in portfolio positions.
  • Developed client portfolios to ensure sustainability and growth to meet financial goals.
  • Tended to NASD and Insurance Regulatory Compliance issues for client portfolios.
  • Monitored client portfolios keeping them in line with investment strategy.
  • Assist with construction of client portfolios and quarterly reviews.
  • Customized investment strategies as needed to strengthen client portfolios.
  • Managed client portfolios with concentration on fixed income.
  • Evaluated client portfolios during face to face appointments
  • Design, build and maintain client portfolios.
  • Analyzed structural volatility and modeled return expectations in client portfolios relative to their potential income requirements and long-term liability streams.
  • Streamlined client portfolios by eliminating redundancies Oversaw clients issues with fast turn-around in communication and accuracy in performance.
  • Assemble, monitor and interpreted client portfolios by determining the securities selection through a fundamental, technical and risk/return process.
  • Key Achievements Analyzed client portfolios to identify investments and risks while helping them meet financial objectives and needs.
  • Analyzed client portfolios Made investment recommendations to current and potential clients Managed client portfolios

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20 Most Common Skills For A Registered Representative

Financial Services

25.9%

Financial Products

15.8%

Client Relationships

5.6%

Investment Strategies

5.4%

New Clients

4.7%

Customer Service

4.6%

Retirement Planning

4.5%

Current Income

3.6%

Estate Planning

3.3%

Financial Plans

3.0%

Financial Goals

2.9%

Asset Allocation

2.8%

Brokerage Accounts

2.8%

Disability Insurance

2.6%

Life Insurance

2.5%

Health Care

2.3%

Variable Annuities

2.0%

Long-Term Care Facility

2.0%

Finra

1.9%

Nasd

1.7%
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Typical Skill-Sets Required For A Registered Representative

Rank Skill
1 Financial Services 20.5%
2 Financial Products 12.5%
3 Client Relationships 4.4%
4 Investment Strategies 4.3%
5 New Clients 3.7%
6 Customer Service 3.6%
7 Retirement Planning 3.5%
8 Current Income 2.8%
9 Estate Planning 2.6%
10 Financial Plans 2.4%
11 Financial Goals 2.3%
12 Asset Allocation 2.2%
13 Brokerage Accounts 2.2%
14 Disability Insurance 2.1%
15 Life Insurance 2.0%
16 Health Care 1.8%
17 Variable Annuities 1.6%
18 Long-Term Care Facility 1.5%
19 Finra 1.5%
20 Nasd 1.4%
21 High NET 1.3%
22 Business Development 1.3%
23 Risk Tolerance 1.3%
24 Financial Advisor 1.2%
25 Charles Schwab 1.2%
26 New Accounts 1.2%
27 Financial Objectives 1.0%
28 Investment Plans 0.8%
29 Financial Situations 0.8%
30 Phone Calls 0.7%
31 Business Owners 0.7%
32 Market Conditions 0.7%
33 Retirement Accounts 0.7%
34 Risk Management 0.7%
35 Financial Strategies 0.7%
36 Market Research 0.5%
37 Iras 0.5%
38 Sales Goals 0.5%
39 Financial Needs 0.5%
40 Insurance Companies 0.5%
41 Wealth Management 0.5%
42 Financial Statements 0.5%
43 Financial Solutions 0.5%
44 Cold Calls 0.4%
45 Customer Accounts 0.4%
46 Annuity Products 0.4%
47 Investment Accounts 0.4%
48 New Assets 0.4%
49 New Agents 0.4%
50 Client Portfolios 0.4%
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