Financial Advisor

Waukesha, WI

Posted: 12/27/2023 Employment Type: Direct Hire Industry: Finance

Job Description

Do you have your Series 65 or Series 66 & Wisconsin Life and Health Insurance License? If so, this opportunity may be for YOU



  • Work directly with the FA
  • Serve as liaison between the FA, clients and provider companies
  • Day to day interaction and training with the FA learning details regarding his/her clients
  • Schedule meetings and meet with clients
  • Prepare information needed for client meetings and meet with the FA to review and discuss prior to the meeting
  • Meet with new clients and gather pertinent information required to design investment strategies for the client’s risk tolerance and time horizon
  • Learn and become proficient using the GVCM Platform and design investment strategies/proposals for clients
  • Learn and become proficient using multiple systems
  • Proficient with details in regard to multiple custodian’s paperwork (i.e. Charles Schwab, AXOS, Fidelity, etc.)
  • Proficient with financial planning software (i.e. RightCapital)
  • Service existing client accounts, identify areas of concern and propose solutions.
  • Prepare new client account paperwork (Co’s and Custodian)
  • Manage and execute the Annual Client Reviews
  • Maintain Customer Relation Management (CRM) i.e. details in Redtail software
  • Maintain client files – documents, notes, etc. in BOX software
  • Assist with client and custodian inquiries
  • Weekly – prepare client activity reports and meet with the FA for assignments and tasks to be completed pertaining to existing clients and prospects
  • Monthly – prepare client activity reports for the FA
  • Proactive with problem solving unanticipated occurrences
  • Complete other projects as assigned and delegated by the FA

Job Requirements

  • Required: NASAA Series 65 or Series 66 License
  • Required: Wisconsin Life and Health Insurance License
  • Undergraduate degree/bachelor’s degree in business, finance, or related discipline
  • 4-6+ years of experience with servicing client accounts
  • Ability to identify problems, resolve them independently or escalate when necessary
  • Excellent oral and communication skills
  • Ability to work in a deadline driven environment
  • Team oriented
  • High attention to detail and commitment to accuracy
  • Excellent problem solving and follow-up skills are essential
  • Strong work ethic, self-starter who takes initiative and works well independently
  • Proficient at collaboration, analytical and strategic thinking skills
  • Proficient at Microsoft MS Officer applications (i.e. Outlook, Excel, Word and PowerPoint) and Adobe
  • Accounting experience a plus

Meet Your Recruiter

Nicole Mortell, CPC
Partner, Vice President of Sales

Nicole earned her Bachelor of Arts from UW-Oshkosh and began her staffing career shortly after graduation.  Quickly, Nicole found her passion rising to top producer year after year and from there in 2006 she became one of the founding Partners of AllianceStaff.  Today as Partner and VP of Sales and Marketing, she remains on the front lines of recruitment and client management, while simultaneously fostering the growth of AllianceStaff by identifying key business development opportunities and training team members to develop their own desks. Nicole partners with companies across a wide range of industries to understand their hiring needs and to help them build the best possible teams.  She has been recruiting in Milwaukee for over 15 years and has developed a unique insight into the hiring needs of the local market. She creates strong business relationships, many of which turn into long-term friendships, attesting to the loyalty she has with her clients and candidates. She listens.  She asks questions. And she understands that a great talent match never needs to be sold.  Nicole intuitively knows when she’s found the right match, and her long track record of successful placements proves her skill.

In her free time you can find Nicole on the soccer field watching her twin boys play in rain, sleet or snow (true soccer mom!!), staying on top of fitness trends, checking out a new restaurant with her girlfriends, traveling with her husband Tom or snuggling with her baby girl Mariah (Australian miniature Labradoodle.)

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