Cole Swearingen
Itasca,IL
Summary
Determined Wealth Management Associate with experience advising clients on investment strategies, identifying personal retirement planning goals and tax planning. Strong background in understanding financial markets, financial products and risk management. Proven track record in helping clients meet their financial goals and building relationships to garner client confidence and satisfaction
Overview
6
6
years of professional experience
Work History
Wealth Management Associate
Curi RMB Capital
03.2023 - Current
- Educate clients on potential risks and rewards affiliated with various investment strategies
- Prepare and created new client onboarding process to improve efficiency
- Monitor and update financial plans tailored to client's goals
- Develop and maintain impactful relationships to maximize client satisfaction
- Collaborate with 4 advisors to satisfy team's book of $1 Billion of AUM
Licensed Wealth Advisor Assistant
Franklin Wealth Advisors, Inc
05.2022 - 03.2023
- Consolidated client financial data to prepare first draft of financial plans
- Executed investment rebalancing and trading that address client cash needs
- Compiled client income tax data for year-end tax forecasts
- Created and interpreted income tax forecasts with head advisor to implement tax planning strategies.
Paraplanner
Franklin Wealth Advisors, Inc
01.2021 - 05.2022
- Assisted tax preparer with investment and retirement income tax return data for over 70 households
- Gathered client data to accurately input initial financial plan input correctly
- Further enhanced personal client relationships as first point of contact
- Researched investment options for portfolio construction through Morningstar Workstation.
Unlicensed Wealth Advisor Assistant
Franklin Wealth Advisors, Inc
06.2019 - 12.2020
- Developed an efficient change of broker dealer process to overcome inefficiencies
- Delivered account paperwork that led to a decrease in account establishment time
- Monitored action items following client meetings.
Financial Planning Intern
Franklin Wealth Advisors, Inc
06.2018 - 05.2019
- Headed an accurate Required Minimum Distribution list for Head Advisor
- Gained knowledge on Broker Dealer change processes
- Performed maintenance on current Client Relationship Management system reports and lists
- Built starting relationships with current clients by greeting prior to meetings.
Education
Bachelors of Science in Agriculture Consumer Economics - Financial Planning
University of Illinois
Champaign, IL05.2019
Skills
- Retirement planning
- Asset Allocation
- Financial Plan Development
- Attention to Detail
- Investment advice
- Tax Analysis
- CRM (Salesforce)
- Financial Software (Tamarac, Holistiplan)
Certifications
- CFP® - Passed July 2024 Exam Cycle
- Financial Industry Regulatory Authority (FINRA) Series 66 - April 2022
Volunteer Experience
Unity Junior High Football, Tolono, Illinois, Coach, 08/2016, 08/2023, Teach basic techniques that help players succeed in position played, Provide knowledge that helps kids understand what it means to be a leader and a better citizen
Timeline
Wealth Management Associate
Curi RMB Capital
03.2023 - Current
Licensed Wealth Advisor Assistant
Franklin Wealth Advisors, Inc
05.2022 - 03.2023
Paraplanner
Franklin Wealth Advisors, Inc
01.2021 - 05.2022
Unlicensed Wealth Advisor Assistant
Franklin Wealth Advisors, Inc
06.2019 - 12.2020
Financial Planning Intern
Franklin Wealth Advisors, Inc
06.2018 - 05.2019
Bachelors of Science in Agriculture Consumer Economics - Financial Planning
University of Illinois
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