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Interview with a Financial Planner . Presented By Lisa Atkins Marie Gonzalez John Williams. 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

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Interview with a Financial Planner

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Interview with a financial planner l.jpg

Interview with a Financial Planner

Presented By

Lisa Atkins

Marie Gonzalez

John 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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  • 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?

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