Teams at Larson Financial Holdings, LLC

The Compliance Officer ensures advisors and associated persons comply with federal, state, SEC, FINRA, MSRB, and firm requirements. Responsibilities include researching regulations, communicating compliance requirements, reviewing applications and advertising, testing policies and procedures, supporting audits, and serving as a supervisory principal or subject matter expert. The role also contributes to compliance program development, risk assessment, investigations, and continuous improvement while handling sensitive information and collaborating across the firm.

Develop and grow a personal client book through prospecting, referrals, networking, and relationship management. Conduct client meetings, prepare comprehensive financial plans, recommend wealth management strategies, generate assets under management, and identify cross-selling opportunities. Manage onboarding, maintain CRM and planning records, collaborate with internal specialists, and ensure regulatory compliance while delivering personalized client service and meeting production goals.

Supports financial advisors by preparing financial plans, running insurance illustrations, communicating team-approved investment recommendations, tracking client planning steps, preparing for and attending client meetings, and maintaining organized client information. Collaborates with client service and operations teams to deliver a strong client experience.