RESPONSIBILITIES: The Registered Account Administrator provides sales practice support to the Financial Advisor. May solicit orders from clients and cold call potential clients under the direction of the Financial Advisor while maintaining contact with and providing service to less active accounts. Provides assistance to the Financial Advisor by providing account information and quotes, establishing new accounts, entering orders after tickets are signed by the Financial Advisors and processing deliveries and payments. Performs various administrative functions for the Financial Advisors and Branch or Operations Managers including but not limited to typing of letters, forms, and reports from rough draft, and the mailing of correspondence for Financial Advisors. Also assists with marketing campaigns. Originates own correspondence on accounts with Financial Advisors approval. The Registered Account Administrator handles telephone calls and other inquiries, for research reports as well as resolving account problems. This person establishes and maintains files to meet regulatory requirements, creates and produces reports and databases while establishing and maintaining files and record keeping necessary to support sales efforts. Also provides support in all phases of client service, client relationship building and account maintenance to assist the business activities of the Financial Advisor. The Registered Account Administrator provides knowledge and systems support to branch personnel and training for entry level assistants. REQUIREMENTS: Must remain current on all new corporate policies, procedures, and applications. Series 7, 63 required; Series 66 preferred with Managed Money Accounts. 3 years of industry experience. All other duties as assigned. Mon - Fri, 8:00am - 5:00pm


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