Financial Solutions Advisor- Cupertino Financial Center

Job Description

This job is responsible for providing comprehensive advice and customized solutions to clients to help them 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. Job expectations include applying and expanding knowledge by completing required licenses and trainings.

This position is subject to SAFE Act registration requirements and requires employees to register and submit to the required background check. Failure to maintain registration may result in disciplinary action up to termination.

Additional compliance details: all employees engaged in residential loan mortgage originations must register with the federal registry system and remain in good standing. Safe Act registration is mandatory.

• 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, and banking and money‑managed solutions
• Recommends banking and investment strategies that align with client financial goals and needs
• Triages client requests and makes referrals 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 recommended

• Currently holds Series 7 & 66 (63 & 65 in lieu of 66) licenses; if the 66 is not held, a passing score for the missing series within 60 days is required
• Has at least one year experience in the investments industry, including training and in‑depth knowledge of investment products and services
• Has at least one year experience working in the financial service industry and/or a sales environment where goals were met or exceeded
• Sets and accomplishes goals, achieving whatever you put your mind to
• Builds and nurtures strong relationships
• Collaborates effectively with others to get things done
• Communicates effectively and confidently, comfortable engaging all clients
• Manages goals, navigates complexity, prioritizes tasks and executes in a fast‑paced environment
• Likes to learn, adapts to new information and seeks the right solutions for clients
• Efficiently manages your time and capacity
• Is thorough and thoughtful in incorporating relevant regulatory due diligence into daily activities and long‑term strategies for clients

• Strong computer skills with an ability to multitask in a demanding environment
• At least three years of experience working in the financial service industry and/or a sales environment where goals were met or exceeded
• Additional professional designations such as CFP or CRPC
• Obtained insurance licenses

• Account Management
• Advisory
• Client Experience Branding
• 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 open availability required + some Saturdays

High School Diploma / GED / Secondary School or equivalent

1st shift (United States of America)

40

US - CA - Cupertino - 20563 Stevens Creek Blvd (CA3143)

$70,000.00 - $80,000.00 annualized salary, offers to be determined based on experience, education and skill set.

This role is eligible to participate in a formulaic incentive plan. Employees are eligible for incentives as detailed by the specific line of business incentive plan provisions. Formulaic plans may be comprised of monthly, quarterly and/or annual incentive opportunities. Incentives are earned based on the employee’s performance against defined metrics.

This role is currently benefits eligible. We provide industry‑leading benefits, access to paid time off, resources and support to our employees so they can make a genuine impact and contribute to the sustainable growth of our business and the communities we serve.