Wealth management advisor vs personal investment adviser

Differences between wealth management advisor and personal investment adviser 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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Personal investment adviser example responsibilities.

• Create and manage investment securities portfolios optimize to address each client's specific needs using establish asset allocation principles.
• Create and manage investment securities portfolios optimize to address each client's specific needs using establish asset allocation principles.
• Assist in planning and implementation of logistics automation initiatives relate to vehicle fleet management and repair parts management.