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Job Summary

A candidate that is passionate about crafting comprehensive financial plans and prefers to focus on planning rather than client acquisition. We are an expanding team that currently includes a Senior Advisor, Associate Advisor, and Registered Client Service Associate specializing in supporting high-net-worth families and private business owners. Seeking dedicated professional to further accelerate the growth of established practice.

Due to pay transparency, our roles auto-populate with Federal minimums. However, the office has determined the appropriate range for this position to be $100,000.00 to $145,000.00 base salary.

Essential Duties and Responsibilities

• Partners with Financial Advisor to review clients’ current portfolio design, understand client goals, enter client data, and conduct financial analysis.

• Evaluates overall individual and employer-based retirement needs, researches various options, and recommends planning alternatives.

• Researches and provides recommendations related to risk management concerns, including insurance.

• Designs and recommends a tailored financial analysis or comprehensive financial plan for clients and prospects that meets their short and long-term financial needs and goals.

• Prepares presentations that clearly communicate the recommendations and alternatives related to the client’s financial analysis and comprehensive plan design.

• Performs detailed document reviews; analyzes client information and situations across the financial planning spectrum to develop plan.

• Researches information as necessary on a case-by-case basis and writes customized financial plan observations and recommendations for each client case.

• Prepares files for meetings with existing and new clients.

• Prepares, coordinates and follows through on any needed communication with new or existing clients.

• Continuously monitors clients’ financial situations with detail and accuracy, with the ability to the look at their overall financial picture.

• Responds to client questions by telephone, email and occasional personal visits.

• Educates client on the functions of various securities markets and the principal factors that affect them.

• Provides guidance on estate planning options and techniques.

• Responds to and directs education funding questions including 529 savings plans.

• Assists with guidance on small business planning.

• Conducts research as needed related to assigned client cases, including but not limited to basic income tax questions and other legal issues requesting guidance when appropriate.

• May participate in client presentations.

• May open, transfer, and close customer accounts and maintain appropriate account records.

• May obtain and verify the client’s purchase and sale instructions, enter orders, and follow up on completion of transactions.

• Ensures practice and regulatory policies are followed within compliance standards

• Perform other duties and responsibilities as assigned.

Education/Previous Experience

• Bachelor’s Degree (B.A.) in related field with a minimum of two (2) years of experience in the

financial, retirement and estate planning field or in marketing these services.

Licenses/Certifications

• SIE required provided that an exemption or grandfathering cannot be applied.

• Series 7.

• Series 63, 65 and/or 66 as required by state.

• Certified Financial Planner (CFP) designation preferred.