- Truist (Sarasota, FL)
- …business development assistance, and providing a consistent and effective level of client servicing when the Financial Advisor is unavailable. ESSENTIAL DUTIES AND ... clients including preparing financial plans, conducting investment research and completing client trades and transactions. 2. Receive and place orders as directed… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and report on key business risks specifically related to independent Registered Investment Advisors (RIAs) and Introducing Broker-Dealers (IBDs) that custody and ... industry and/or banking compliance reviews. + Inherent risks associated with brokerage /banking industry and the controls to mitigate residual risk. **Skill in:**… more