Who We WantEstablish and grow client relationships by delivering comprehensive financial planning and advisory services. Source prospective clients through networking and referrals to expand the firm's reach. Provide proactive service, guidance, and communication that supports clients in achieving their financial objectives. Promote the firm's wealth enhancement and planning services while adhering to regulatory requirements and maintaining all continuing education obligations.
Essential Functions
Client Advisory & Relationship Management: Provide clear information and education to clients regarding financial plans, services, and strategies. Review investment products in client accounts and reallocate to appropriate models to support client goals. Own all communication with assigned clients, including calls, emails, and in-person or virtual meetings. Address client needs promptly and thoroughly to ensure a high-quality advisory experience.
Business Development & Networking: Source prospective client opportunities through networking, referrals, and community engagement. Promote the firm's wealth enhancement and planning services to prospective and existing clients.
Compliance & Professional Standards: Adhere to all company policies and industry supervisory guidelines. Maintain all continuing education requirements and required training for the advisor role. Maintain a clean U-4 and uphold ethical and regulatory standards.
Team Collaboration & Firm Engagement: Participate in advisor team meetings, training sessions, and continuing education programs. Attend firm client events to support relationship building and client engagement.
Other Duties: Perform additional tasks, duties, and responsibilities as needed or assigned by leadership to support departmental and organizational objectives.
What You Need• Minimum of five years of investment advisory experience required
• Bachelor's degree preferred
• Active Series 65 or 66 required
• Clean U-4 required
• Certified Financial Planner™ (CFP®) preferred
• Strong business development skills required
• Excellent interpersonal and communication skills required
• Strong client service orientation required
• Excellent organizational and time-management skills required
• Ability to manage multiple tasks and priorities simultaneously required
In exchange for your expertise, we offer a base salary, bonus potential, 401(k) plus matching, health benefits, and a great working environment. This is your chance to play a key role in the continued success of our company. Our culture is fast-paced, collaborative, innovative, and focused on healthy living. Carson strives to promote the health and wellness of its stakeholders by maintaining a tobacco-free workplace.
The total rewards expected for this role include:
- The base pay for this position across all US geographic markets ranges from $60,000.00/year to $145,000.00/year. Pay is based on a number of factors including geographic location and may vary depending on job-related knowledge, skills, and experience.
- Variable compensation potential (Bonus and/or commissions)
- Competitive benefits including 401(k) with company contribution, PTO, Parental ,Medical, Dental, Vision, Health Savings Accounts, Flexible Spending Accounts, Life and AD&D Insurance, Short and Long-Term Disability, Work/Life Benefits and Holistic Wellbeing Programs.
