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Develop and deliver tailored financial plans, lead client meetings, create insurance illustrations and financial scenarios, communicate investment recommendations, and manage client onboarding and ongoing service. The role tracks planning milestones, maintains CRM and financial planning data, resolves inquiries, cultivates referrals, and collaborates with advisors to provide high-touch wealth management services.

Develop and deliver personalized financial plans, lead client meetings, create insurance illustrations and financial scenarios, communicate investment recommendations, manage onboarding and service processes, maintain CRM and planning software data, resolve client inquiries, and cultivate long-term client relationships and referrals.

Develop and present personalized financial plans, lead client meetings, construct insurance illustrations and financial scenarios, communicate investment recommendations, and manage planning milestones. The role also oversees client onboarding, ongoing service, CRM and planning-software data accuracy, client inquiries, retention, and referral-building activities while collaborating with advisors and internal teams.

Develop and present comprehensive financial plans, insurance illustrations, financial scenarios, and investment recommendations for clients. Lead client meetings, manage onboarding and ongoing service processes, track planning milestones, maintain CRM and planning software data, resolve inquiries, and cultivate long-term relationships and referrals. Collaborate with advisors and internal teams to deliver high-quality wealth management service while maintaining regulatory standards and confidentiality.

Leads and personally administers an investment adviser compliance program, including monitoring, testing, reviews, risk assessments, regulatory filings, investigations, training, and remediation. Serves as the primary liaison with LPL Financial, advises leadership and advisors on SEC and broker-dealer requirements, coordinates examinations and audits, tracks corrective actions, and escalates significant risks. The role requires independent judgment, strong documentation and investigative skills, and hands-on ownership of compliance operations.

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.

Serve as an embedded internal wholesaler and real estate product specialist to enable advisors, drive capital formation, lead trainings, attend client meetings, coordinate cross-functional messaging, and manage advisor pipeline in Salesforce.

Lead client meetings, gather and organize client data, build tailored financial plans and insurance illustrations, communicate investment recommendations, manage onboarding and ongoing service, maintain CRM and planning software, track milestones, resolve client inquiries, and cultivate referrals while delivering high-touch client service.