- Truist (Lakeland, 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
- TD Bank (Tampa, FL)
- …assists in the regulatory oversight for TD Private Client Wealth,(TDPCW), a US registered Investment Advisory Service and a US Broker Dealer and TD Wealth ... and trades executed in the TDPCW Broker Dealer and Registered Investment Advisor, as well as our fixed annuity...adherence to all applicable FINRA and SEC rules regarding client accounts including Regulation Best Interest and FINRA suitability… more