Financial Solutions Advisor- Silicon Valley Area

Note:

This requisition contains multiple locations, but not all have immediate openings.

Job Description:

This role is responsible for providing comprehensive advice and customized solutions to clients so they can achieve their financial goals. Key responsibilities include triaging client leads, making referrals to business partners based on client needs and asset thresholds, meeting with clients to review financial and investment goals, building a financial plan, and recommending brokerage products.

Regulatory Requirements:
The following laws restrict the hiring of individuals with certain criminal history: FDIC;
Safe Act;
Loan Originators; FINRA. Employees must register with the SAFE Act and complete the required background check, maintaining registration status to avoid disciplinary action.

• Works with clients to plan short‑and long‑term financial goals by building a financial plan with brokerage products, including stocks, bonds, mutual funds, annuities, banking and money‑managed solutions.
• Recommends banking and investment strategies that align with client financial goals and needs.
• Triages client requests and directs them to appropriate internal service providers based on client needs and asset thresholds.
• Mitigates and controls risk as part of daily activities.
• Identifies and engages potential new clients through referrals or financial center clientele.
• Provides coaching and feedback to referral partners based on knowledge of client needs and potential product services.
• Registers with the SAFE Act and maintains compliance with all relevant regulations.

• Currently holds Series 7 and 66 licenses (or Series 63 or 65 in lieu of 66). A passing score for the missing series within 60 days can be required.
• Has at least one year of experience in the investments industry, including training and in‑depth knowledge of investment products and services.
• Has at least one year of experience working in the financial service industry and/or a sales environment where goals were met or exceeded.
• Sets and accomplishes goals, demonstrating determination.
• Builds and nurtures strong relationships.
• Collaborates effectively with others to achieve results.
• Communicates clearly and confidently, engaging all clients.
• Manages goals, navigates complexity, prioritizes tasks and executes in a fast‑paced environment.
• Loves learning, adapts to new information, and seeks the right solutions for clients.
• Efficiently manages time and capacity.
• Incorporates relevant regulatory due diligence into daily activities and long‑term strategies for clients.

• Strong computer skills with the ability to multitask in a demanding environment.
• At least three years of experience in the financial service industry and/or a sales environment where goals were met or exceeded.
• Additional professional designations such as Certified Financial Planner (CFP) and/or Chartered Retirement Planning Counselor (CRPC).
• Insurance licenses.

• Account Management
• Advisory
• Client Experience
• Customer and Client Focus
• Oral Communications
• Active Listening
• Attention to Detail
• Client Solutions Advisory
• Issue Management
• Pipeline Management
• Causation Analysis
• Client Management
• Policies, Procedures, and Guidelines
• Risk Management
• Written Communications

Monday–Friday with open availability required plus some Saturdays.

High School Diploma / GED / Secondary School or equivalent.

1st shift (United States of America).

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