Investment Specialist

Capital Strategies is backed by a longstanding organization of experienced people, exceptional products, and a realistic, need-based approach to financial strategies. We are committed to helping you meet your financial needs: protecting your family or business, building predictable retirement income, and knowing you will be financially prepared for the future.

With over 60 years of combined experience in the industry, we remain committed to the core values our firm was built upon, and we leverage our strength to deliver superior value to all our advisors and their clients. We have 150 financial professionals covering all of Central and West Texas and New Mexico. Our main offices are in 4 cities with detached offices spread throughout the territory. We aspire to transform your destiny by helping you get from where you are to where you want to be.



The Investment Product Specialist is responsible for developing, growing and supporting the sales of investment products offered through MML Investors Services, LLC (MMLISI). This position reports to the CEO.


Responsibilities, Overall Standards

· Developing a written business plan to accomplish agency goals incorporating investment sales.

· Support the recruiting effort by acting as a resource for the broker dealers value proposition

· Creating sales through leadership, relationship, education, training, product promotion.


Educational Support

· Perform MMLISI Orientation for new Registered Representatives.

· Communicate procedural and practice management updates.

· Assist with training for new business submission; encourage the review of MMLISI Bulletins. Assist with dissemination of industry updates, provide applicable news articles, research findings, sales literature, etc.

· Act as a mentor, work with new agents to conduct case studies; invite Representatives to summit meetings, hold study group meetings, etc

· Provide Registered Representatives with direction and assistance in satisfying CE requirements for the year.

· Be proficient with MMLISI tools and resources such as FieldNet, Streetscape, PAAR, Morning Star and MMLISI Portfolio View.

· Interview potential Registered Representatives, assist with transitioning Experienced Representative book of business.


Product Support

Schedule wholesalers to deliver product training. Develop value added relationships with vendor wholesalers. Provide agency access to prospectuses and sales literature or information on web access for prospectuses and literature. Keep current on product offerings.


Sales Support

Be available for joint fieldwork, assist Registered Representatives in case design and investment proposals. Participate in the investment component of fee base planning, collaboration with financial department and develop and implement sales campaigns to increase agency production.


Business Planning

· Work with CEO regarding business development initiatives (i.e. setting production goals, budgeting, etc.

· Be proactive in incorporating MMLISI business into the overall sales mix of Agents.

· Monitor agency business plans.

· Coordinate agency training through wholesalers and internal curriculum.


Broker-Dealer Liaison

· Resource to escalate service needs with MMLISI home office contacts.

· Partners ideas and acts as a process owner.

· Attend MMLISI sponsored trainings, study groups, and due diligence sessions


Agency Supervision

Keep current on all compliance regulations and information from MMLISI. Serve as designee for supervision of business when the Agency Compliance Officer is not in the agency.


Measurement Criteria

· Annually increase number of Registered Reps:

· Producing at bonus level (above 250K GDC)

· Affiliated with MMLISI Corporate RIA

· Annually Increase, overall agency production of MMLISI products

· Number of RRs qualifying for MMLISI productivity schools, national recognition conferences, etc.


Qualifications (Skills, Education, Training, and Registrations)


· CFA, Series 7, 63 and 65/66 licensed

· Life and Health licensed preferred, will need to obtain within first 90 days

· Registered with MMLISI Corporate RI

· Contracted with MassMutual

· Participation in Investment Specialists Schools

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