Registered Client Service Associate-Charlotte, NC

Serve as the first point of contact for daily client interactions, including basic inquiries, providing quotes, and scheduling meetings via phone, in-person, virtual, and mailing channels. Onboard new clients, open accounts, and research client and security information using internal databases. Process asset transfers, monitor available cash, and run weekly reports to contact clients with investment opportunities. Review corporate action items, prepare financial reports, input orders, and rebalance portfolios on behalf of Financial Advisors. Maintain client records in CRM software and assist with marketing efforts for seminars and events. Ensure all client information and documentation remain current with firm and industry requirements.