Position Title: Financial Advisor
Salary Range: $70,000 - $100,000 / DOE
Step into an established book of business with the resources, autonomy, and earning potential to build something bigger. This Financial Advisor will initially partner with a retiring advisor before assuming responsibility for approximately $76 million in assets under management. The role combines relationship management, fiduciary investment guidance and business development, with a clear mandate to retain existing clients, generate referrals, attract new assets and expand the practice. The ideal candidate is a proven producer who thrives in a growth-focused environment. They are self-directed, entrepreneurial, and comfortable prospecting, presenting investment strategies, and introducing clients to both traditional and alternative investment opportunities.
Financial Advisor Responsibilities: - Partner with the retiring advisor to ensure a smooth transition of client relationships before assuming responsibility for the established book of business
- Manage relationships with both accredited and non-accredited investors, with an average client portfolio of approximately $500,000
- Assess each client's goals, risk tolerance and financial needs to recommend tailored investment solutions
- Deliver clear, compliant education on traditional investments, managed money and alternative investment opportunities
- Introduce appropriate clients to the firm's proprietary alternative investment fund as part of a comprehensive portfolio strategy
- Actively prospect for new business through referrals, networking, local seminars and strategic business development
- Attend approximately 10 local marketing events annually alongside firm leadership
- Develop referral relationships and convert qualified prospects into long-term clients
- Retain existing assets while identifying opportunities to transition suitable accounts toward fee-based managed money
- Meet or exceed asset growth, production and revenue goals while maintaining fiduciary and regulatory standards
- Collaborate with operations and client service professionals to support onboarding, paperwork, account execution, scheduling and ongoing service
- Maintain accurate client records and follow all securities regulations, internal procedures and compliance requirements
- Take full ownership of priorities, follow-up, and results within a small, highly accountable office environment
Financial Advisor Requirements: - Active Series 65, Series 66, or equivalent license
- At least five years of experience as a Financial Advisor or in advisory or investment sales within an RIA or broker-dealer environment
- Proven record of prospecting, winning new business and growing client assets
- Strong knowledge of securities regulations, fiduciary responsibilities and compliance requirements
- Demonstrated ability to attract, develop and retain client relationships
- Strong sales, presentation, communication and interpersonal skills
- Entrepreneurial mindset with the discipline to work independently and take ownership of results
- Genuine enthusiasm for meeting people, earning referrals and building a larger book of business
- Comfort discussing alternative investments and evaluating strategies beyond traditional portfolio models
- Coachable, adaptable, and receptive to new ideas, mentorship, and performance feedback
- Ability to work onsite during the initial training and client-transition period
- No sponsorship or relocation assistance available
Preferred Qualifications: - Bachelor's degree
- Active life and health insurance license
- Experience with Schwab, MoneyGuidePro, or comparable wealth management platforms
- Experience working with both managed money and alternative investments
Benefits: - Medical insurance with 60% of the premium covered after a 30-day waiting period
- Dental and vision plans
- 401(k) with a 6% employer match and no waiting period
- Three weeks of vacation with a flexible, adult approach to time off
- Standard holidays aligned with the New York Stock Exchange calendar
- Opportunities for equity participation
- Firm-paid compliance expenses and licensing costs
- Reimbursement for approved client lunches
- Dedicated operational and client service support
- Leadership investment in marketing, local events, and advisor growth
- Direct mentorship from a growth-oriented leadership team
- Long-term advancement opportunities within a stable and expanding firm
If you are a driven Financial Advisor ready to inherit meaningful client relationships and turn an established practice into a high-growth book of business, apply today!
