Associate Wealth Management Advisor

• This position is designed to be a developmental Financial Advisor at the Associate level.
• Under the guidance and in partnership with a senior advisor, this advisor will learn and develop skills to consult with existing and prospective customers to determine financial goals, objectives, and current financial position.
• Conducts due diligence with lower segmented clients/prospect’s financial situation in order to recommend financial products to meet the customer/prospect’s particular financial status, objectives, risk tolerance, tax exposure, and the like.
• Develops an expertise and knowledge of the securities industry and markets to analyze and interpret customer/prospect’s investment objectives in light of various factors, and then provide customized and individualized investment advice suited to those objectives while complying with all pertinent laws, regulations and corporate policies.
• Engages in business development and promotional activities.

• Bachelor's degree, or equivalet work experience
• At least two years of industry related experience in a financial sales or wealth position
• Will need to complete FINRA Series 7, 65 or 66 and state insurance licenses within the first 6 months of employment
• Basic knowledge of the securities industry and markets
• Well-developed analytical and decision-making skills to provide customized investment and financial planning advice
• Effective interpersonal, verbal and written communication skills
• Proficient with various computer software programs including Microsoft Office, and have the ability to use recommended desktop planning tools and processes

Demonstrates expertise in financial advising, including the ability to analyze client financial situations and provide tailored investment advice while adhering to regulatory standards. Proficient in business development and effective communication to engage with clients and prospects.

• FINRA Series 7
• FINRA Series 65
• FINRA Series 66
• Financial Planning
• Securities Industry Knowledge

• Financial Analysis
• Investment Advice
• Risk Assessment
• Tax Exposure Analysis
• Client Consultation

• Analytical Skills
• Decision-Making Skills
• Interpersonal Skills
• Verbal Communication
• Written Communication

• State Insurance Licenses

• Financial Sales
• Wealth Management
• Business Development
• Regulatory Compliance
• Customer Engagement

• Microsoft Office
• Desktop Planning Tools