Registered Client Associate

A Client Associate, Registered services clients and provides operational and administrative support to Financial Advisors. An employee must have both Series 7 and either Series 66 or 65/63 to be considered registered. • Educate clients on account services and capabilities • Input client information into the financial planning tools and Firm tools • Assist with the preparation of reports and other materials for client meetings • Ensure appropriate documentation is collated for new accounts and service requests It is unlawful in Massachusetts to require or administer a lie detector test as a condition of employment or continued employment. An employer who violates this law shall be subject to criminal penalties and civil liability.