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Investment Advisor Resume Samples
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Candidate Info
years in workforce
years at this job
Marketing
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
years in workforce
years at this job
Business Management
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
years in workforce
years at this job
Accounting
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
years in workforce
months at this job
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
years in workforce
years at this job
High School Diploma
Business Administration
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
years in workforce
years at this job
Accountancy Program
Accountancy Program
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
months in workforce
months at this job
Bachelor of Arts
Finance
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
years in workforce
year at this job
Business Marketing
Business Marketing
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
years in workforce
years at this job
Economics
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.
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