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Advisor Responsibilities

Advisor Responsibilities

Wealth Manager

Although the administrative team may help with various tasks in order to help grow and maintain your business, there are some job responsibilities you as the advisor should do independently.

  • Conduct prospect and client appointments assigned by Blakely Walters and adhere to Planning Grounds service model:
    • Up to Three one-hour in-person meetings Year One, and one annual meeting thereafter*; 
    • Access to Financial Professional by email and telephone during regular business hours;
    • Creation and management of a transferable electronic record; and
    • Additional consultations as reasonably requested by Participant.

      *Salt River Project employees receive two annual meetings after Year One


  • Adhere to Blakely Walters and NEXT Financial Group Inc.’s Written Supervisory Procedures, located on, by always serving the client first
  • Monitoring of NEXT Financial Group, Inc. and Insurance commissions
  • Licensing for various investment companies and continuing education
    • Assistance with licensing may be provided
  • Generate new clients with personal marketing abilities
    • Assistance with marketing and branding may be provided
  • Service existing clients and respond to service inquiries on a timely basis
  • Generate insurance sales, investment sales, and financial planning fees when appropriate by utilizing products approved by Blakely Walters and NEXT Financial Group Inc.
  • Run illustrations, quotes, and proposals for all possible revenue generating activities
  • Deliver completed paperwork (hard or soft copy) to administrative team to be uploaded and processed
    • Investment paperwork can be prepared by administrative staff
    • Insurance documents must be self-obtained
  • Communicate with clients directly through phone and/or email for appointment follow-up
  • See Account Operations Manager support for more information
  • Follow-up with investment and insurance companies for outstanding requirements needed for completion of applications
  • Utilize post meeting follow-up form and/or type relevant notes in RedTail CRM
  • Financial Planning Website (E-Money) input and maintenance for all prospects and clients when relevant
    • Administrative team can send out the initial invitation, but all contact and financial information should be completed by the advisor
  • Computer maintenance and security

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