Investment counselor Interview Questions

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Investment Counselor interview questions shared by candidates

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David Lerner Associates
Investment Counselor was asked...5 June 2016

How I would build my book of business?

1 Answers

By doing everything they asked me to. This included cold calling, referrals, seminars, attending events and joining referral groups, Less

Fisher Investments

Why Fisher investments ?

1 Answers

I talked about them being RIA

Fisher Investments

Initial phone interview covered my resume and general background questions. Most difficult, was why Fisher Investments.

1 Answers

Stated that with my back ground and sales experience, Fisher fits with what I want to do career wise. Less

Fisher Investments

Describe a scenario in which you helped a client.

1 Answers

Regarding a trust account.

David Lerner Associates

Where do you see yourself in 5 years?

1 Answers

Established in this industry, with a book of business that shows 20% growth every year. Less

Principal Financial Group

The most critical part was how I handled a role play customer situation with the manager acting as a customer. I was presented with a customer who had been on hold for too long and had a question about their account and some of our services.

1 Answers

I apologized for the long wait time but didn't make any excuses. The role is a sales role but you are also going to have customer service aspects to the job. After handling the complaint I discussed the clients financial situation which was part of the reason he was calling. I then asked additional questions in an effort to uncover assets. They loved the fact that handled the customer service issue, but still was looking for an opportunity. Less

Bank of Singapore

Who is your boss and who does he report to and who are your clients

1 Answers

I refused to disclose such sensitive information

Fisher Investments

What would your wife say are the two best things about you?

1 Answers

I said that I take care of all of our finances and that I am a great dad.

Fisher Investments

How did we get here? Tell me about yourself. How do you see yourself working in the Fisher Environment?

1 Answers

I recounted my financial services experience, talking for quite a while. Given that the job title was "counselor," I emphasized my integrity and client-centric approach as an advisor. In retrospect, this is not what they wanted to hear. Less

Fisher Investments

They will test your market knowledge so be prepared.

1 Answers

Explain knowledge of QE, various investment products, what happened in 2008, etc. Less

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