Wealth management advisor vs finance assistance advisor

Differences between wealth management advisor and finance assistance advisor duties and responsibilities

Wealth management advisor example responsibilities.

• Handle sales of permanent and term insurance, fix annuities, brokerage accounts, mutual funds, and manage money accounts.
• Manage FINRA, NASD compliance, quality control and documentation for all stock, bond and option trades place by team.
• Manage and strengthen customer relationships through cross-selling and up-selling to maximize retention and income generation by contacting existing and prospective customers.
• Contribute MorningStar research reports for mutual fund portfolios.
• Maintain and monitor files to ensure proper compliance procedures under FINRA.
• Research and compare active vs. passive financial managers who utilize section rotation and ETFs to hedge risk and capture alpha.
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Finance assistance advisor example responsibilities.

• Manage and strengthen customer relationships through cross-selling and up-selling to maximize retention and income generation by contacting existing and prospective customers.
• Conduct initial and ongoing meetings with prospects and clients profiling and developing comprehensive wealth management strategies.
• Analyze and test derivative modeling and dynamic hedging methods.