CLASSIFIEDS

Merrill Edge
Orange County, CA

Role Summary:

The primary role of the Field Financial Solutions Advisor (FSA) is to deepen banking and investment relationships with Bank of America's Mass Affluent (MA) customers. Located in Banking Centers with a concentration of mass affluent customers, the FSA will act as the primary point of contact for MA customers, although will not have a "book of business." Walk-in MA customers will be directed to the FSA who will provide end to end comprehensive advice and customized solutions to help customers achieve their financial goals. Customer reviews/presentations will include a review of investment goals and prepare presentations that recommend products such as stocks, bonds, mutual funds, insurance, annuities and banking solutions. Also, the FSA will transact point of fulfillment investment and banking business for clients with less than $250k in investable assets. In addition, the FSA will engage in daily outbound calling to pre-selected Bank of America or Merrill Edge customers inviting them into the Banking Center for a customer review.

The Banking Center FSA will provide a single company and agnostic product view for our mass affluent clients. The FSA should therefore have experience in investment, banking and lending products to bridge banking and brokerage solutions. The FSA will build and maintain effective partnerships with internal business partners including other Banking Center teammates, Mortgage Loan Officers, Financial Advisors, banking and investment contact center teammates in Customer Services & Solutions (CS&S) and Merrill Edge Advisory Center (MEAC). The FSA will directly report to a Regional Sales Manager on the Mass Affluent Sales team and partner closely with the Banking Center staff to drive cross-segment referrals.

Key Job Responsibilities:

1. Assess customer goals by conducting financial opportunity sessions with new or existing banking clients. Leverage business knowledge to determine prudent and appropriate strategy to meet client's needs by recommending financial solutions for Mass Affluent clients.
2. Build strategic partnership with Banking Center as a valued team member. Refer business back to appropriate Banking Associate/Personal Banker. Refer clients with an investment need and more than $250K in investable assets to a local Merrill Lynch Wealth Advisory Complex. Refer to other appropriate business channel(s) (i.e. Small Business, HL&I) as needed
3. Demonstrates strong awareness of enterprise-wide opportunities to serve our customers.
4. Pro-actively build relationships with potential and existing clients to meet business objectives.
5. Comply with all applicable banking and investment laws, regulations, company polices, and procedures, in order to serve the clients' best interests and enhance client satisfaction.

Qualifications:

Experience Requirements

1. 3+ years of proven investment business development experience, including investment training. In-depth knowledge of investment products and services
2. Experience creating a comprehensive financial strategy, assessing needs, identifying, and recommending financial solutions
3. Knowledge of banking (credit and deposit) products and services desired
4. Demonstrated ability to cultivate effective revenue generating partnerships with other LOBs
5. Proven track record of ability to influence: present oneself assertively, convincingly and with confidence to establish credibility and respect with others
6. Must be able to provide evidence of consultative communication and relationship building skills leading to client fulfillment and delight in previous roles
7. Must possess sound business ethics; acts in the best interest of the client
8. Highly motivated self-starter, proactive, with intense focus on results. Conveys a sense of urgency to achieve business goals and exceed expectations
9. Excellent time management and organizational skills
10. 4 year degree, preferably in business related field, CFP desired
11. Series 7 & 66 (63 & 65 in lieu of 66) and Insurance licenses required

Please forward resume to: wesley.gunter@ml.com

Husami & Associates
Santa Fe Springs, California

Financial planning firm in Santa Fe Springs, California is looking for a college graduate with Grade Point Average of 3.5 or higher and Finance major. Individual must have, or be prepared to pass examination for General Securities license (Series 7 and 66). Up to 4 years experience and CFP credentials or in progress a plus. Responsibilities include assisting in case design, data analysis, processing brokerage and insurance paperwork, client relations and correspondence.

Must be detail-oriented with excellent customer service and organizational skills and the ability to use Microsoft Office Suite.

Assisting in case design by working under the guidance of Senior Financial Planner (SFP). This will include review of new client third-party statements to analyze efficacy, performance, suitability and transferability, conducting risk assessment analysis, implementing an asset allocation model and preparation of Investment Policy Statement (IPS).

Interact with clients to answer questions; review and explain statements; interview clients per predefined questionnaire, fill new account applications and or funds transfer requests; fill life insurance applications and expedite underwriting procedure; schedule client meetings for account reviews with SFP; maintain client relationships and keep SFP appraised of clients’ needs and comments.

Interact with Broker/Dealer to assure expeditious execution and management of clients’ financial plans; Compile and analyze investment products that are approved by Broker/Dealer, become thoroughly familiar with Broker/Dealer’s systems and procedures to assure seamless and trouble free execution of transactions and plans. Execute trades using Broker/Dealer systems. Review and reconcile firm compensation received from Broker/Dealer and other financial institutions

Coordinate with other financial institutions like custodian institutions, mutual fund companies, money managers and insurance companies. Initiate, track and expedite varied actions like opening accounts, trade executions, funds transfers, generation of interim statements and cash distributions to clients. The assistant will resolve any pending issues; assure good order, full compliance and client satisfaction.

Participate in marketing program and coordinate with Client Experience Manager, recommend monthly message and complete monthly mailings.

Perform administrative tasks including maintenance of clients’ financial files, interface with other office personnel to deliver seamless service to clients, Review and manage internal procedures to assure full compliance as specified by Broker/Dealer, and CFP board standards.

About Husami & Associates

Located in Santa Fe Springs, CA. Husami & Associates is a full service wealth management firm. We provide accounting, tax and financial services to family owned and privately held businesses. Proud to be celebrating our 25th anniversary we continue to strive to provide excellent work with superior client service. Every member of our staff is committed to delivering exceptional work in a friendly and professional atmosphere.

If you have a passion for Financial Services and a desire to learn more,
submit your resume to hr@1stglobal.com.

Compensation will be commensurate with education, skills, & experience.

Erman Retirement Advisory
Seal Beach, CA

The Assistant Advisor at Erman Retirement Advisory, a comprehensive retirement planning firm located in Seal Beach, CA, will be responsible for directly assisting the senior advisor in the ongoing management of the total client base and also with the ongoing management and retention of a select group of client-relationships. This professional will work closely with the senior advisor to develop strategies for accumulating additional assets to manage for existing clients of the firm. However, the Assistant Advisor is also expected, over time, to develop his or her own client relationships through business development activities.

The firm seeks an experienced (at least 3 years), planning-oriented financial advisor who will be an excellent fit with the company’s philosophy, methodology and client-centered processes – all geared to help pre-retirees work more effectively toward their goals for income generation, capital preservation and tax minimization.

Success in the position depends upon one’s natural ability to:

• Research in order to establish specific expectations
• Develop customized financial strategies
• Coordinate needs of both clients and team members
• Assist with firm growth initiatives and innovations
• Facilitate financial decision making
• Inspire clients through positive communicatio

If you have already been successful providing financial advice and guidance to clients and wish to develop your business as part of an interdependent financial team, our company could be the next step in your career path and exactly the kind of working environment that you have been seeking.

Salary and incentives will be discussed.

Reply in confidence to: applications@ErmanRetirementAdvisory.com

MetLife Financial Planning Division is currently seeking fee-based Financial Planners who want to be part of a collaborative, supportive and professional environment. Our firm offers an exceptional support team of experienced planners, attorneys, and case design professionals to help you give your clients advice designed to meet their individual needs and goals. Our dedicated marketing department will work with you to customize a plan to help you develop and expand your marketing efforts. As a W-2 employee you will receive a generous compensation, and benefits package.

Contact Jasmine Mirshahabi or (949) 471-5873.

www.metlifeofsoutherncalifornia.com

MetLife is an equal opportunity employer.

L0810126167[exp0812][CA]

Jackson Financial Management currently seeks a well-qualified Financial Planning Associate with a high degree of independence and responsibility.

Some Key Responsibilities are:

• Prepare Financial Reviews
• Prepare Portfolio Performance Reports
• Prepare Initial Financial Plans
• Develop planning recommendations and investment strategy proposals
• Handle follow-up actions after Financial Review meetings have been completed
• Develop & maintain advisory relationships with existing and new clients

Please send cover letter and resume via email to jacksonfinancialmanagement@gmail.com.
No phone calls, please.

Harrison de Charon, LLC, an independent, fee-only wealth advisory firm is seeking an experienced CFP® with existing clientele for our University City office (San Diego area). Please send your resume to Jeanni Harrison or call (858) 558-8707 for more information.

A well established, fee only, asset manager with an excellent track record looking to merge with another fee only firm. Please send a brief description of your business, phone number, and email address to inman11@gmail.com.

Registered Investment Adviser practice for sale. Two partners want to retire in next 12 months. Fee only. Approximately $60 million under management. Not more than 26 clients. Terms are available. Send brief description of your business experience, phone number, and email address to fpa4sale@yahoo.com.