Financial Solutions Advisor- Napa, Marin, Sonoma

Job Overview

This position is responsible for providing comprehensive advice and customized solutions to clients to help them achieve their financial goals. It involves triaging client leads, making referrals to business partners, meeting with clients to review financial and investment goals, building a financial plan, and recommending brokerage products. The role is subject to SAFE Act registration requirements, meaning employees must register with the federal registry system and maintain good standing.

Failure to obtain or keep SAFE Act registration may result in disciplinary action up to and including termination.

• Works with clients to plan short‑and long‑term financial goals by building a financial plan that includes brokerage products such as 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.

• Currently holds Series 7 & 66 (or Series 63 & 65 in lieu of 66) licenses. If a candidate does not hold the 66 license but has a 63 or 65, an offer can be extended contingent on passing the missing series within 60 days.
• At least one year of experience in the investment industry, including detailed knowledge of investment products and services.
• At least one year of experience in the financial services industry and/or a sales environment where goals were met or exceeded.
• Demonstrates goal‑setting and goal‑achievement skills.
• Builds and nurtures strong relationships.
• Collaborates effectively with others to get things done.
• Communicates effectively and confidently and is comfortable engaging all clients.
• Manages goals, navigates complexity, prioritizes tasks, and executes in a fast‑paced environment.
• Enjoys learning, adapts to new information, and seeks the right solutions for clients.
• Efficiently manages personal 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 the ability to multitask in a demanding environment.
• At least three years of experience in the financial services 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 as required by the role.

• 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 with open availability required and some Saturdays.

High School Diploma / GED / Secondary School or equivalent.

1st shift (United States of America).

40 hours.