Mid LevelFinancial Consultant Resume Example

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Financial Consultant Resume Template (mid level)

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Professional Summary

Financial Consultant managing a book of 180 client households and $95M in AUM, with a proven record of AUM growth, high retention, and comprehensive financial planning. Series 7 and Series 66 licensed and CFP-track, known for fiduciary, planning-led client relationships.

Professional Experience

Financial ConsultantMar 2021 - Present

Cedar Ridge Wealth Partners, Charlotte, NC

Grew AUM from $60M to $110M over three years while maintaining a 96% annual client retention rate.
Managed a book of 180 households, delivering 40-plus comprehensive financial plans annually across retirement and tax strategies.
Gathered $28M in net new assets through referrals and 401k rollovers, rebalancing portfolios to each client's risk tolerance.

Associate Financial ConsultantJun 2018 - Feb 2021

Blue Harbor Financial Group, Raleigh, NC

Supported a $140M book, opening 120 accounts and processing IRA and Roth rollovers for 90 households.
Prepared 30-plus financial plans and cash-flow analyses under CFP supervision using eMoney.
Managed a 300-prospect pipeline in Salesforce and Redtail CRM with zero compliance exceptions.

Skills

Wealth Management, AUM Growth, Financial Planning, Series 7 & 66, Retirement Planning, Portfolio Rebalancing, Client Acquisition, Tax-Efficient Strategies

Education

B.S. FinanceMay 2018

University of North Carolina at Charlotte

Certifications

Series 7
Series 66
CFP Candidate

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Key Skills for Financial Consultant

Wealth ManagementAUM GrowthFinancial PlanningSeries 7 & 66Retirement PlanningPortfolio RebalancingClient AcquisitionTax-Efficient Strategies

ATS Keywords for Financial Consultant

Use these naturally in your summary, skills, and experience when they reflect your background.

Financial ConsultantAssets Under ManagementFinancial PlanningSeries 7Series 66Retirement PlanningPortfolio RebalancingClient RetentionNet New AssetsWealth ManagementRedtail CRMFiduciary

How to Write a Mid Level Financial Consultant Resume

A mid-level financial consultant resume needs to show a book you own: AUM you grew, net new assets you gathered, retention you sustained, and comprehensive financial plans you authored and implemented across Series 7 and Series 66 advisory work, plus the compliance discipline that kept every recommendation suitable without daily oversight.

Resume Writing Tips

Quantify your book and its growth

State household count, AUM, and before-and-after growth, like moving a book from $60M to $110M. These figures are the currency of advisory hiring and prove you can gather and retain assets independently.

Show planning ownership

Cite the number of comprehensive financial plans you authored and implemented, naming specialties like retirement drawdown, Roth conversions, or tax-loss harvesting, to prove you drive planning-led relationships, not just transactions.

Prove retention and acquisition

Pair a retention rate with a net-new-asset figure and the channel behind it, such as referrals or 401k rollovers, showing you both keep existing clients and grow the book through your own prospecting.

Skills to Highlight

AUM Growth

Detail the before-and-after AUM of a book you managed and the net new assets you gathered, since asset growth is the single clearest signal of a productive consultant.

Financial Planning

Describe comprehensive plans you authored, the software used, and the specialties covered, such as retirement income, education funding, or tax-efficient withdrawal sequencing.

Series 7 & 66

State your licenses and CFP progress, and tie them to the account types and fiduciary work they enable, since these are hard filters and signal your scope of advice.

Portfolio Rebalancing

Explain how you allocated and rebalanced portfolios to each client's risk tolerance and time horizon, and any benchmark-relative outcome you achieved across the book.

Common Questions

How do I show I own client relationships, not just support them?

Lead with a book you manage directly: household count, AUM, retention rate, and net new assets you gathered. Then cite plans you authored and portfolios you rebalanced without escalation. Ownership reads through the metrics of a book you are personally accountable for, not through relationship adjectives.

Should I list AUM if my firm has advertising restrictions?

Use rounded, aggregated figures you can defend, like "roughly $95M across 180 households," and avoid naming clients or promising returns. If your firm bars stating AUM, describe scope by household count, net new assets, or plans delivered instead. Never fabricate; principals verify production during hiring.

How specific should my metrics be without exact numbers?

Mid-level Tax Preparer resume sample highlighting realistic scope, ATS-friendly structure, and role-specific accomplishments.

Individual Tax PreparationTax SoftwareDocument Review

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