Client Planning Specialist

About the Role:  

The Liston Group is looking for a Client Planning Specialist. In this role, you’ll provide advanced financial planning and client service support for one or more Financial Advisors and their clients. You’ll lead the creation and delivery of financial plans using Baird’s Private Wealth Management technology platforms, manage onboarding and account operations, and contribute to broader wealth management activities. This role also supports business development efforts by identifying opportunities and enhancing advisor effectiveness. Ideal candidates are licensed professionals with strong planning expertise, analytical skills, and a proactive approach to client engagement in a dynamic wealth management environment.

The Impact You’ll Make:  

• Owning and managing all or a portion of the Financial Advisors’ financial planning activities
• Lead in the generation and creation of financial plans using MoneyGuidePro to create and deliver financial plans to clients. This may also include the ownership of other wealth management activities including tax reviews, estate plans, etc.

• Gain knowledge of and leverage partnership with Baird’s Corporate Resource Groups to provide the best wealth management solutions to clients
• May schedule client appointments and/or conference room for appointments
• Assemble/generate materials including paperwork and reports for client meetings
• Understand and ensure business adherence with firm and financial industry regulatory policies 
• May manage FA and Team’s social media presence (website, LinkedIn, X, etc.)
• Maintain Client Relationship Management (CRM) system for Financial Advisor(s), as well as leverage the platform to manage the client relationship through mailings, reporting, e-mail tracking, and more, with the goal of implementing well-defined client service models
• May organize and coordinate seminars and client events at the direction of Financial Advisor(s).  Develops client lists, designs material and seminar/meeting content, coordinates PowerPoint presentations and follows through with client contact
• Seek ways to enhance FA(s) business effectiveness and marketability
• Initiates and completes all transactions required to fully service client accounts i.e. paperwork, correspondence, client request fulfillment and special projects as needed
• May enter security orders including stocks, bonds, fixed income, options, annuities and other investment vehicle orders per Financial Advisors’ instructions or upon client’s verbal direction
• May also provide back-up to other teams and the branch when necessary, as well as perform other duties and special projects as necessary
• Proactively review investment opportunities on a daily basis & notify Financial Advisor(s) to take action on those opportunities with the goal of driving the Financial Advisors’ business.  Specifically, this may include funds available/money line, maturing securities, reorg items, and previous days’ activities
• Assist with client onboarding coordination, which includes managing Financial Advisors prospect pipeline, assisting with proposal generation, preparing new account paperwork, opening accounts, transitioning new assets to Baird and establishing an ongoing communication/client service plan

What You’ll Bring to Baird: 

• 5+ years of prior industry work experience

• Active Securities Industry Essentials (SIE) Exam, Series 7, and Series 66 or Series 63 and Series 65 licenses
• Attainment of CFP®, WMCP®, or CPWA® certification
• Strong technology aptitude with the ability to adopt new tools, including AI-enabled solutions, preferred
• Proficient in knowledge and use of all major Baird’s Private Wealth Management technology platforms (Thomson ONE, Albridge, Envestnet, CRM, Money Guide Pro, LiquidOffice, Microsoft Office (Word, Excel, PowerPoint), etc.)
• Excellent verbal and written communication skills
• Detail oriented with an emphasis on accuracy
• Critical thinking and proactive problem-solving skills
• Good analytical skills with ability to perform semi-advanced math
• Understanding of compliance regulations including the client complaint process and correspondence policies
• Bachelor's degree preferred, not required
• Ability to lift, move, and transport items up to approximately 25 pounds as needed to support office operations, client events, and team activities

Compensation and Benefits:   

• $26.88-$36.11 hourly rate
• Bonus potential up to 10.5% of base pay  
• Opportunity for additional compensation through revenue sharing

• Compensation and bonus are commensurate with experience, performance and/or firm profitability  
• You’ll have the opportunity to advance your career while enjoying our comprehensive benefits designed for your life, career and future

Baird is committed to diversity and provides employment opportunities to all employees and applicants for employment without regard to race, color, religion, sex, pregnancy, citizenship, national origin, age, disability, military service, veteran status, sexual orientation, gender identity or expression, genetic information, or any other status protected by law.