Financial Advisor

Requirements

• Bachelor’s degree in Finance, Accounting, or related field
• 3-5+ years of financial advisory experience
• An existing book of business that could be transferrable (near $50M in assets or more)
• Certified to work as an investment advisor representative (Series 65 or equivalent)

Preferred

• Master’s degree in Finance, Accounting, or related field
• Financial credential(s) such as CFP, CFA, CPA
• Depth of knowledge in at least one key area of financial planning
• Experience advising at a Registered Investment Advisory (RIA) firm

Responsibilities

• Identifying and pursuing potential clients to maintain a strong client base
• Meeting individually with clients to determine their financial objectives, risk tolerance, income, expenses, and assets
• Offering strategic advice on products and services, such as investments, insurance coverage, and debt management tools
• Identify struggles or questions the client may have, explain financial planning concepts, create clarity around client goals, and prepare financial plans
• Performing market research to stay current with financial trends
• Preparing financial documents, such as income projections and investment reports
• Work with third-party experts such as tax or estate planners to ensure the client has a cohesive advisory team
• Maintaining compliance with all rules and regulations in the financial industry