Registered Sales Associate

Company: Sullivan & Associates
Location: Colorado Springs
Posted on: February 20, 2021

Job Description:

Sullivan & Associates is an Independent Registered Investment Advisor firm that provides personalized financial advice to their clients.We offer:* Health & Dental Insurance* Paid Time Off & Holidays* 401k Matching* BonusesYour role at S&A would be to assist the financial advisor in day to day operations which includes:* Answering inbound client questions regarding accounts while servicing any issues surrounding the clients' accounts.* Preparing reports, letters, forms, and spreadsheets for client and prospect meetings.* Researching client and security information through the back office system.* Performing trades, wires, deposits, fund transfers, distributions, and other account maintenance operations.* Maintaining files and entering client notes in CRM.* Ensuring required client paperwork is current with firm and industry requirements, rules, and regulations.* Performs other duties and responsibilities as assigned.Qualifications & Education* College degree preferred.* Series 7, 66 or 63/65 preferred or SIE provided that grandfathering cannot be applied.* Financial background and/or finance degree is a plus.* Must be detailed oriented and organized with excellent communication and client service skills.* Computer experience with Microsoft Word, Excel, Client Relationship Manager, or equivalent.We expect our associates at all levels to:* Grow professionally and inspire others to do the same.* Work with and through others to achieve desired outcomes.* Make prompt, pragmatic choices and act with the client in mind.* Take ownership and hold themselves and others accountable for delivering results that matter.* Contribute to the continuous evolution of the firm.

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