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.

Provide federal and state tax planning and projections for high-net-worth individuals and related entities. Research complex multistate tax issues, review returns for planning opportunities, collaborate with advisors and firm leadership, and use tax software and technology to improve client outcomes and firm efficiency. Represent the firm in professional forums and support business development.

Work directly with clients to create tailored financial plans, lead meetings, produce insurance illustrations, coordinate investment recommendations, maintain CRM and planning software, manage onboarding and client service, and cultivate referrals to retain clients.