interview with a financial planner presented by lisa atkins marie gonzalez john williams
TRANSCRIPT
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Interview with a Financial Planner
Presented By
Lisa AtkinsMarie GonzalezJohn Williams
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Mark Johnson Began in sales Current position: financial manager,
Goldman Sachs B.S. and M.S. from DePaul University Served as Regional Manger with 401(k)
plans Began in personal financing division in
1999
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Typical Work Routine 7 a.m. Observes charts and stocks 9 a.m. Contacts clients 11 a.m. Drives to local gym/lunch 2 p.m. Finishes administrative tasks 3-8 p.m. Converses with clients Averages working 60 hours per week
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Advantages of the Position Operates in a powerful position
affecting others Enjoys changing situations Being creative with money
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Disadvantages of the Position
Being in the most regulated industry Overwhelmed with documentation Dealing with client far-fetched
expectations
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Successful Skills Within the Firm
Adapting well to the field Dependent upon the individual “Work smarter, not harder”
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Determining if This is the Proper Field
Retailing within the firm Operating in institutional division Having broad communication skills Have an ego
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Preparing for the Position Learn from the “School of Hard Knocks” Be knowledgeable in the principles of
marketing Understand financial basics and the
“80/20” ratio
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Qualifications Obtain at least a bachelor’s degree Take the CFA exam Attain necessary licenses Have additional certifications Update security licenses
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Advancement Opportunities
Become an investment analyst Act as a portfolio manager Expand into a range of management
positions
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Salary Range Start with a base salary Paid based on commission Bonuses within the firm
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Reasons to Choose Goldman
Recognized in industry Extensive research and other resources Work schedule flexibility Unconstrained by bureaucracy
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Related Firm Opportunities Look to the “Big Four” Working for smaller, related firms
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Training as a Financial Planner
Discuss finance fundamentals Reviewing stock analysis Networking with potential clients Visit headquarters in Princeton, N.J.
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Changes Occurring Within the Field
Increase in legislation Increased circulation of marketing
information Growth of financial divisions
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Employment Outlook for College Graduates
Reduced number of openings More selective Maintain knowledge of finance Gain experience to stay competitive
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Professional Associations Apply for Financial Planning Association Apply for the Certified Financial
Planning Board Participate in professional events Maintain industry contacts
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Recommended Reading Material
Read New Financial Advisor and Gathering Assets Keep up to date on tax information Research-related news publications
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Resumé Essentials Take advantage of opportunities to gain
experience Acquire knowledge of building client
base Become familiar with other industries
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Improving Your Marketability
Network a “list of 200” Find a common ground with clients Present seminars
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Advice for Students Refrain from memorizing formulas Know how to market yourself Remember: Finance is an art Value your customers
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Thank you.
Questions?