Financial Advisor Support Specialist

99.9 Ktdy; Lafayette, Northern (LA, KY); Hybrid; USD 52,000 - 76,000; Full time

Job summary

99.9 Ktdy in Lafayette, LA seeks a Registered Client Service Associate to support Retail Financial Advisors in selling investment, fiduciary, and insurance products through a full-service brokerage platform for both institutional and non-institutional clients.

The role emphasizes assisting in sales goals, client inquiries, and efficient administrative operations while ensuring compliance with FINRA/SEC regulations and delivering high-quality client service.

Qualifications

• Bachelor’s degree in finance, accounting, economics, business administration or related field preferred but not required.
• 3-5 years financial services experience required.
• FINRA Series 7, 63 and 65 or 66 licenses required.
• Louisiana Life/Variable Insurance (LAH) licenses required.

Responsibilities

• Actively involved in supporting the Retail Financial Advisor(s) in the sales and service of investment, fiduciary, and insurance products.
• Assist in achieving designated sales revenue goals through customer contact and relationship building.
• Research and resolve client inquiries.
• Manage office policies and procedures to comply with regulations and ensure compliance.

Skills

3-5 years financial services

Client service excellence

Education

Bachelor’s degree in finance, accounting, economics, business administration or related field preferred

Tools

FINRA Series 7, 63, 65/66 licenses

LA Life/Variable Insurance licenses

Job description

99.9 Ktdy in Lafayette, LA seeks a Registered Client Service Associate to support Retail Financial Advisors in selling investment, fiduciary, and insurance products through a full-service brokerage platform for both institutional and non-institutional clients.

The role emphasizes assisting in sales goals, client inquiries, and efficient administrative operations while ensuring compliance with FINRA/SEC regulations and delivering high-quality client service.