Financial Planner Associate (Larson University)

Key Responsibilities

• Shadow Client Service Associates (CSAs) to learn client intake, onboarding, account maintenance, and service processes.
• Observe client interactions and assist with administrative and operational workflows.
• Learn account documentation requirements and client record management procedures.
• Develop an understanding of client service standards and best practices.
• Observe Financial Planner meetings and client consultations.
• Participate in financial planning development sessions and plan implementation reviews.
• Gain experience evaluating client goals, risk tolerance, and investment objectives.
• Learn suitability standards and recommendation processes.
• Develop a strong understanding of capital markets and securities industry fundamentals.
• Learn characteristics, risks, and applications of:
  • Equities
  • Fixed income securities
  • Mutual funds
  • Exchange-traded funds (ETFs)
  • Alternative investments
  • Retirement plans
  • Investment company products
• Build knowledge of portfolio construction and risk management principles.
• Study federal and state securities regulations.
• Learn FINRA rules, prohibited activities, and industry compliance requirements.
• Understand suitability standards, trading regulations, and account management procedures.
• Develop knowledge of fiduciary responsibilities and ethical business practices.

Licensing & Professional Development

• Complete structured training curriculum and assigned educational materials.
• Attend training sessions, workshops, and licensing preparation courses.
• Create study materials, including flashcards and practice reviews.
• Complete benchmark assessments and practice examinations.
• Successfully obtain:
  • Sercurities Industry Essentials (SIE)
  • Series 7 License
  • Series 66 License

Requirements

• Bachelor’s degree or equivalent professional experience.
• Strong interest in financial planning, wealth management, and investment advisory services.
• Excellent communication and interpersonal skills.
• Strong organizational and time-management abilities.
• Ability to learn complex financial and regulatory concepts.
• Demonstrated commitment to professional development and licensing success.

Preferred

• Degree in Finance, Business, Economics, Accounting, or related field.
• Previous client service, financial services, or internship experience.
• Familiarity with financial markets and investment concepts.

Success Metrics

• Completion of assigned training curriculum and coursework.
• Achievement of benchmark scores on licensing practice examinations.
• Successful attainment of SIE, Series 7, and Series 66 licenses.
• Demonstrated understanding of compliance and regulatory requirements.
• Positive participation in client service, planning, and operational activities.
• Readiness to transition into an advisory or financial planning support role.

Core Competencies

• Client Focus
• Professional Communication
• Analytical Thinking
• Regulatory Awareness
• Attention to Detail
• Learning Agility
• Time Management
• Teamwork & Collaboration
• Ethical Decision-Making