Review and enter all types of unsolicited orders directly from clients as well as entering all types of solicited and unsolicited orders at the direction of the Financial Advisor.
Solicit orders to clients at the direction of the Financial Advisor.
Identify matters that require escalation including suspicious activity, customer complaints, trading errors, and violation of industry regulation or Firm policy.
Use independent judgement and discretion to determine the unique needs of each client.
What You'll Bring
Proven success in establishing rapport with clients; building and maintaining a mutually beneficial, long-term relationships.
In-depth understanding of the Financial Services industry, domestic and international markets, and applicable regulatory environment.
Thorough understanding of investment portfolios, products, and services and how to utilize them with individual clients.
Integrity to perform job functions ethically within the boundaries of the regulatory environment.
Education & Experience
Minimum Required: Bachelor's Degree or a combination of education and experience.
Minimum Required: 5+ years' Financial Services/Brokerage experience
Licenses & Credentials
Minimum Preferred: Series 7 and Series 63 or 66 or must obtain with 3 months from start date.
Note: If required by state for advisory business Series 63 and 65 or Series 66.
Systems & Technology
Proficient in Microsoft 365.
About Stifel
Stifel is more than 130 years old and still thinking like a start-up. We are a global wealth management and investment banking firm serious about innovation and fresh ideas. Built on a simple premise of safeguarding our clients’ money as if it were our own, coined by our namesake, Herman Stifel, our success is intimately tied to our commitment to helping families, companies, and municipalities find their own success.
While our headquarters is in St. Louis, we have offices in New York, San Francisco, Baltimore, London, Frankfurt, Toronto, and more than 400 other locations. Stifel is home to approximately 9,000 individuals who are currently building their careers as financial advisors, research analysts, project managers, marketing specialists, developers, bankers, operations associates, among hundreds more. Let’s talk about how you can find your place here at Stifel, where success meets success.
At Stifel we offer an entrepreneurial environment, comprehensive benefits package to include health, dental and vision care, 401k, wellness initiatives, life insurance, and paid time off.
Stifel is an Equal Opportunity Employer.
