Investment Advisor Resume Samples

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Investment Advisers give securities advice to clients as either individual businesspeople or on the behalf of a larger firm. The work experience section of a sample Investment Adviser resume can include such responsibilities as marketing and selling products like life insurance, annuities, and investments to clients, and analyzing clients' financial information to determine strategies that will meet their financial objectives. A minimum educational requirement when applying for an Investment Adviser position is a Bachelor's degree in a financial field.

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1

Investment Advisor/stock Broker

Advised clients regarding financial planning, securities trading and tax issues.

  • Responsible for new asset acquisition and portfolio allocation of over $50,000,000.
  • Trained and mentored numerous new investment representatives to become successful advisors.
  • Founding member of the Retention Team that increased asset retention by 40%.
  • Counseled military members at conventions and cadets at U.S. military academies.
  • Assisted in the development and implementation of programs critical to the growth of the company.
  • Consistently one of the top performing representatives who regularly received annual awards.
Candidate Info
19
years in
workforce
10
years
at this job
BS
Marketing
2

Investment Advisor Representative

Provide full service financial planning. Work with private individuals and corporate clients to identify goals and formulate custom solutions. Managed retail and education sector books of business. Maintained more than $37M in total assets.

  • Delivered $2M in retail business for company.
  • Increased client base 30% in major New York school district.
  • Increased overall territory sales more than 41% in less than four years.
  • Improved sales by identifying and targeting under-served small and medium-sized companies.
  • Ranked in Top 30% for Retail Sales in multi-county metro region.
Candidate Info
19
years in
workforce
4
years
at this job
AS
Business Management
3

Registered Representative/ Investment Advisor

Cooperate in management of $20 million equity portfolio for 60 +/- high net worth (HNW) clients.

  • On-boarded approximately five new accounts monthly with several whose AUM exceeded $100,000.
  • Grew assets under management to $20+ million.
  • Increased gross revenue generated by $100,000 since 03/2012.
Candidate Info
4
years in
workforce
3
years
at this job
BS
Accounting
4

Chief Compliance Officer - Registered Investment Advisor

Processed regulatory filings as required with SEC and State regulatory agencies, including initial ADV forms and amendments, state notice filings and form U4/U5.

  • Facilitated effective communications with various regulatory agencies, including responses to State and SEC requests.
  • Developed and implemented written policies and procedures to ensure compliance by the firm with relevant SEC rules and other applicable laws.
  • Created client paperwork for the RIA.
  • Created a uniform disclosure format to ensure Investment Advisors / Registered Reps maintained compliance with SEC, FINRA and State Regulatory agencies.
Candidate Info
15
years in
workforce
9
months
at this job
5

Investment Advisor

Assisted clients with their financial planning needs; identified revenue growth opportunities based on clients' investment objectives and risk tolerance, resulting in a 20% minimum increase in market share.

  • Managed clients' risk through the implementation of a diverse portfolio including investments, insurance and trust products.
  • Maintained and retained strong repeat business.
  • Partnered with other associates to provide the highest level of client service while retaining higher market share.
  • Carefully adhered to company's guidelines on client's on-boarding process by conducting a thorough fact-finding.
Candidate Info
20
years in
workforce
3
years
at this job
HS
High School Diploma
BA
Business Administration
6

Investment Advisor Associate

Assisted Investment Advisor (Owner) in all aspects of running the business.

  • Implemented investment philosophy for current and new clients.
  • Performed retirement analysis for current & prospective clients.
  • Re-Balanced and maintained client portfolios ($55MM Assets Under Management).
  • Prepared client trade recommendations for Investment Advisor.
Candidate Info
7
years in
workforce
2
years
at this job
C
Accountancy Program
MS
Accountancy Program
7

Investment Advisor-analyst Intern

Assisted RCM investment advisors to review investment due diligence check list and documents.

  • Maintained and updated the database on Retirement Plan Advisory Group System.
  • Coordinated with marketing department to prepare companywide marketing materials.
  • Maintained and updated investment analysis spreadsheets, templates and forms.
  • Performed investment manager screenings.
  • Performed other ad-hoc duties as assigned by supervisor.
Candidate Info
10
months in
workforce
5
months
at this job
BA
Bachelor of Arts
MS
Finance
8

Account Manager / New Business Sales / Investment Advisor

  • Drove the sale of various products and services, and assisted in the management of $150 million in assets
  • Advised and served thousands of VALIC account holders as part of a 12 member team
  • Grew portfolio by $11 million in 1 year through asset consolidation
  • Achieved 115% of goal for one of three sales goal categories
  • Ranked as high as #2 out of 26, in for IncomeLock sales category
Candidate Info
7
years in
workforce
1
year
at this job
BA
Business Marketing
BA
Business Marketing
9

Investment Advisor Representative-independent Contractor

  • Constructed client portfolios based on asset allocation and historical financial and market data to reduce their investment volatility and risk while increasing returns.
  • Promoted from Financial Representative to District Leader within 2 months.
  • Analyzed business revenues and expenditures to identify opportunities to maximize investment returns and improve efficiency of operations.
  • Provided outstanding customer service and follow-up ensuring complete satisfaction which often led to cross selling and increased revenue.
  • Created PowerPoint training modules that were adopted companywide and used in training of new agents.
Candidate Info
8
years in
workforce
3
years
at this job
BA
Economics

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