Broker Check

Seeking an experienced Advisor Support Specialist 

Seeking an experienced Advisor Support Specialist with exceptional attention to detail and preference for working in a smaller, independent office environment in which confidentiality and discretion are required at all times. Experience in financial services or investment advisory sectors is strongly preferred as this role involves daily operational tasks and processing of investment account paperwork. The role also includes answering client phone calls/emails and scheduling appointments; daily follow-up on all financial transactions and requests submitted to broker-dealer; client meeting preparation; new accounts preparation and maintenance; and compliance filling and reporting. We are looking for someone who is comfortable interacting with clients over the phone and in-person, and who is competent to handle a wide-range of tasks, meet deadlines, and exercise independent judgment.

Essential Duties and Responsibilities:

  • Interacts daily on the phone and in person with prospective and existing clients including handling basic inquiries and providing quotes.
  • Solicits and receives orders for the Financial Advisor.
  • May service less active accounts.
  • Researches client and security information through the back office system.
  • Processes and follows up on client documentation for proper maintenance of accounts.
  • Prepares letters, forms, and spreadsheets to assist with servicing existing clients and prospecting for new clients.
  • Creates and maintains records and files.
  • Ensures required client paperwork is current with firm and industry requirements, rules and regulations.
  • Maintains databases and creates reports using portfolio software programs.
  • Receives and processes securities.
  • Participates in and receives cross-training, as well as assists with other operational functions as required.
  • Performs other duties and responsibilities as assigned.

Qualifications – Must be knowledgeable and experienced in the following:

  • Investment concepts, practices and procedures used in the securities industry.
  • Financial markets and products.
  • Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.
  • Organize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.
  • Handle stressful situations and provide a high level of customer service in a calm and professional manner.
  • Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels.
  • Use mathematics sufficient to process account and transaction information.
  • Work independently.
  • Provide a high level of customer service.
  • Redtail, Morningstar, and eMoney software applications.

Educational/Previous Experience Requirements:

  • High School Diploma or equivalent and minimum of two years financial services industry experience.


  • Series 22, 6, 63, 65 and/or 66 required.
  • Series 7 preferred.

About Capital Advisory Group:

Independent, financial services practice, headed by a father-son team in business for over 40 years. Unique structure with Broker-Dealer allows for exposure to both traditional investment advisory practice as well as an exciting business tax strategy and planning practice.

How to Apply:

All interested candidates will mail their resume and cover letter with 200-300 words describing why you are best suited to work in a small independent advisory practice to 119 Old State Road, Ellisville, MO 63021.