Financial Planning Consultant (Georgetown, TX)

Responsibilities

Partners with Financial Advisor to review clients’ current portfolio design, understand client goals, enter client data, and conduct financial analysis.

Evaluates overall individual and employer-based retirement needs, researches various options, and recommends planning alternatives.

Researches and provides recommendations related to risk management concerns, including insurance.

Designs and recommends a tailored financial analysis or comprehensive financial plan for clients and prospects that meets their short and long-term financial needs and goals.

Prepares presentations that clearly communicate the recommendations and alternatives related to the client’s financial analysis and comprehensive plan design.

Performs detailed document reviews; analyzes client information and situations across the financial planning spectrum to develop plan

Researches information as necessary on a case-by-case basis and writes customized financial plan observations and recommendations for each client case

Prepares files for meetings with existing and new clients

Prepares, coordinates and follows through on any needed communication with new or existing clients

Continuously monitors clients’ financial situations with detail and accuracy, with the ability to the look at their overall financial picture

Responds to client questions by telephone, email and occasional personal visits.

Educates client on the functions of various securities markets and the principal factors that affect them.

Provides guidance on estate planning options and techniques.

Responds to and directs education funding questions including 529 savings plans.

Assists with guidance on small business planning.

Conducts research as needed related to assigned client cases, including but not limited to basic income tax questions and other legal issues requesting guidance when appropriate.

May participate in client presentations.

May open, transfer, and close customer accounts and maintain appropriate account records.

May obtain and verify the client’s purchase and sale instructions, enter orders, and follow up on completion of transactions.

Ensures firm and regulatory policies are followed within compliance standards

Perform other duties and responsibilities as assigned.

Education/Experience Requirements

Bachelor’s degree in a related field and three years’ experience in the financial services industry with an emphasis on financial, retirement and estate planning field or in marketing these services

or

An equivalent combination of experience, education and/or training as approved by Human Resources

Licenses

SIE required provided that an exemption or grandfathering cannot be applied

Series 7

Series 63, 65 and/or 66 as required by state or ability to obtain within six months