Text Version of the
Investment Advisor Resume Sample
Phone | City and State | Email Address | LinkedIn Address
Investment & Insurance Advisor
A results-focused investment advisor offers award-winning success in directing brokerage, insurance, institutional, and discretionary money management. Excels in winning and cultivating client trust, ensuring high retention levels and referral business. Works effectively in collaborative and individual contributor roles, providing excellent customer service, proactive communications, quick problem resolution, and customized investment strategies.
Customer Service – Relationship Building – Asset Management – Strategic Planning
Risk Management – Financial Analysis & Planning – Investment Strategies
Short/Long-Term Planning – Regulatory Compliance – Trust Management
Problem Solving – Tax Support – Sales – Customer Retention – Communications
Select Career Highlights
- Reviewed insurance policies as well as deeds, wills, and trusts to establish automated reminders for clients; coordinated requests for funds, including regulator remittances and disbursements.
- Coordinated annual unitrust payments and private foundation grant payments with tax department; worked with tax personnel to report gifts and use GST exemptions for irremovable trusts.
- Achieved Performer’s Club seven times for top 10% results nationwide while working with more than 450 clients that represented more than $300M in assets under management.
- Expanded business with existing customers and successfully acquired new assets, ranking in the top 20% nationally in net assets, averaging $32M per year.
- Competed in a nationwide stack rank and consistently ranked in the top 15% for asset retention.
COMPANY NAME (2012 – 2015)
Vice President, Client Advisor
Developed and maintained client relationships through proactive communication and coordinated delivery of services to individuals, families, trusts, and foundations. Acted as a liaison between Senior Client Advisors and all other service areas of the organization; directly managed 35 team members.
- Provided regular client communication, promptly responding to client and advisor inquiries, and attended client meetings to document/discuss issues and coordinate follow up utilizing CRM system.
- Supervised development of client meeting presentation books and created custom reports.
- Oversaw account opening and closing procedures and reviewed related documents prepared by account team.
- Coordinated with fiduciary counsel to ensure administration complies with governing documents.
- Guided Senior Client Advisors in investment management activities, including defining investment goals, balancing accounts, executing trades, monitoring asset allocation, and overseeing investment performance.
- Prepared asset allocation simulation modeling for clients, initial and annual trust reviews, and client requests to the committee for all discretionary distributions from trusts and special investments.
- Completed distributions from charitable remainder trusts, charitable lead trusts, and private foundations.
- Ensured all team functions and client activities fully complied with regulatory requirements.
COMPANY NAME (2001 – 2012)
Account Executive (2005 – 2012)
Developed strong relationships with prospects and clients while growing an existing book of business by providing personal needs-based financial solutions, wealth management, retirement planning, and income strategies.
- Cultivated strong relationships with 450 clients, representing $300M in assets under management.
- Provided market and economic education to clients through quarterly briefings along with comprehensive annual reviews of their financial situation/status.
- Collaborated with clients, attorneys, and accountants to help ensure due diligence for comprehensive plans in the context of current needs as well as long term financial planning.
- Supported client transition into retirement by providing astute analysis of cash flow from various sources and its relation to lifetime fixed costs compared to client discretionary spending goals.
- Leveraged consultative selling to promote products and services that would meet additional client needs.
Retirement & Investment Services Consultant (2003 – 2005)
Advised current and future clients on investment opportunities and aligned products and services to investor requirements through needs analysis, understanding of market trends, and strategic planning.
- Provided investment guidance for plan participants and linked business partners based on client needs.
- Maximized asset retention opportunities for the firm and generated leads for the retail sales organization.
- Maintained consistent operational efficiency while working with high volume of clients.
Full Brokerage Trader (2001 – 2003)
Worked with clients to resolve service/maintenance requests and process equity, option, and fixed income trades.
- Presented clients with data concerning market news and relevant tax information.
- Traded equities, options, precious metals, fixed income, and mutual funds error free for nearly three years.
- Selected for the 2002 President’s Circle Award, awarded to 260 out of 13,500 traders nationwide.
COMPANY NAME (2000 – 2001)
Prospected potential clients, set appointments, and presented the value of company products and services.
- Promoted health insurance to employers and individuals with plans that encompassed life, accident, health, and medical coverage (including dental and eye plans).
Education & Credentials
MBA – University Name | BBA – University Name
FINRA Series 7 and 66
State Department of Insurance Life, Accident, Health and HMO