Entrepreneurial Financial Advisor - Forum Financial Management

• Market to potential new clients to grow a book of personal advisory clients
• Generate referrals from existing clients by providing a high level of client support through thoughtful and consistent communication, high quality advice and timely responses to client requests
• Engage with clients assigned by your mentoring advisor to support their ongoing needs and strengthen relationships
• Build and maintain a network of individuals that could benefit from financial planning support and/or serve as a referral source; market to this network to grow a book of personal advisory clients

• Act as an associate advisor in for existing client relationships, completing tasks and follow-up duties as requested by your mentor
• Work as the lead advisor on clients that you bring into the firm, enlisting support from you mentor as needed throughout the process
• Respond to client calls and requests in a timely manner
• Attend meetings, take thorough notes, and identify clear next steps to ensure that client follow-ups are completed
• Oversee client rollovers, account transfers, and account distributions and maintain contact with clients and vendors through confirmation that processes have been completed
• Onboard new clients by providing clear communication and guidance throughout the onboarding process
• Conduct ongoing communication with clients to set meetings, gather data, implement action items and provide meeting follow-up or deliverables
• Securely provide requested tax reports to clients or their accountants

• Interface with the Client Service Team, Back Office / Traders, Advisor Support, Schwab to work on client service or portfolio needs
• Participate in advisor training, advisor conferences, operational meetings, and monthly calls to learn about changes and upcoming events within Forum

• Keep up to date with various tax law changes, social security benefits changes, economic policy changes, congressional bill developments and progress through legislative process, etc., to be ready to apply & implement those changes in plans or advice given to clients
• Prepare and present investment and advisory recommendations both individually and in conjunction with mentor
• Develop and deliver recommendations on various insurance products to support clients in making the best long-term financial decisions
• Create Social Security Analyzer reports to be integrated into the Dash Plan retirement projections
• Run Dash Plan Investment Policy Statements and various retirement projection scenarios for prospective and existing clients

• Utilize the Hub (our proprietary Client Relationship Management (CRM) database) to update client records, enter meeting notes, generate meeting agendas, request files from clients and manage tasks
• Contact clients to process RMDs and work with the Client Service Team to obtain Inherited RMD amounts,
• Update Dash Plan assumptions and projections prior to meetings, as requested
• Create spreadsheet analysis or do research on various topics, as requested
• Run all created reports through Compliance and file on Box
• Process client withdrawals or deposits, as requested
• Participate in compliance training and quarterly affirmations to stay up to date with the latest guidelines

• Growth mindset – Enthusiastic about the idea of building a client base and willing to learn new skills
• Self-starter – Comfortable acting, willing to ask questions and demonstrates a high level of intrinsic motivation
• Active listener – Demonstrates the ability to listen effectively and capture key details to support client needs
• Detail oriented – Recognizes the tasks that require a high level of detail and can manage details in a fast-paced environment
• Time Management – Our best advisors can work independently and leverage the resources within our firm to spend most of their time on value added tasks and respond to clients quickly
• Organized – Effective note taker, uses our technology and can identify the more important tasks to focus on
• Collaborative – Willing to ask for help form their mentor as well as others in the organization to gain the knowledge and tools needed to be successful in this role
• Analytical – Demonstrates the ability to review data and develop recommendations based on the goals of the client
• Relationship oriented – Knows how to build rapport with others and is comfortable building relationships
• Communication – Demonstrates the ability to communicate (written and oral) messages clearly even in complex situations

• 2 years as a financial advisor is preferred
• Clean compliance record
• Bachelor's degree or graduate degree in business or a related field
• Series 65 and CFP designation preferred, or an intent to complete
• Experience in a security-related or financial planning firm is a plus
• Client relationship and sales experience is a plus
• Knowledge of Schwab, TD Ameritrade, and/or Fidelity custodians a plus
• Knowledge of financial planning software, including Money Guide Pro

• This is an entrepreneurial role, which means that your compensation is based on your ability to bring clients into the firm. Our mentorship program would provide you with the tools and support needed to be successful in this role.

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