• Recruiting and managing interns • Trading accounts on a discretionary and non-discretionary basis. • Processing, overseeing, reconciling, and communicating the successful completion of all client requests and transactions, including account establishment, account maintenance, service requests, check requests, account purchases, investment exchanges, redemptions, and transfers. • Preparing preliminary proposals, asset allocation reports and hypothetical illustrations • Preparing and maintaining documents and client files in accordance with FINRA and SEC requirements. • Answer incoming client phone calls and emails. • Assisting with the preparation of client information using MS Word, MS Excel, and MS PowerPoint.

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