Associate Financial Advisor

Step into an instrumental role. Help conduct the smooth operation of a fast-paced—and friendly—financial planning office. Work as an employee of an independent advisor franchisee with a financial advisory practice of Ameriprise Financial. Assist in daily business operations.

The associate financial advisor will assist financial advisor(s) in working with clients to help them achieve their financial goals. The employing franchise owner will lead you as you hone your skills and build a base of clients which you service. As an associate financial advisor, you will be instrumental in creating and delivering a unique client experience that defines and differentiates the practice.

This position will consistently follow high standards of business and professional ethics and legal and regulatory requirements when dealing with others and/or performing work activities.

This role provides client relationship support through managing, gathering and analyzing client data, helping prepare financial plans and other client deliverables, working with clients to resolve issues and other practice management tasks as needed. Responds to ad hoc requests, coordinates/tracks projects and/or manages small business as usual projects such as organizing a client seminar.

Responsibilities and Time Allocation – Will change over time to meet the needs of the practice and can include other duties as assigned by the advisor.

Position Functions:

Marketing & Client Acquisition (20%+)

• Develop and execute annual marketing plans
• Prospect outreach and appointment setting
• Coordinate seminars and client events
• Drive referrals and networking opportunities
• Support digital presence (website, social media, online experience)

Financial Planning & Advice (25%+)

• Prepare for and participate in client meetings
• Gather and analyze financial data
• Create financial plans and recommendations
• Answer client inquiries and provide account support
• Track client actions and follow-ups

Product Solutions (25%+)

• Assess client goals, risk tolerance, and timelines
• Recommend investment strategies and products
• Develop and present financial solutions
• Execute trades and monitor portfolios
• Stay informed on market trends and economic conditions

Business Management & Client Care (15%+)

• Improve processes and operational efficiency
• Maintain client records and CRM systems
• Support team collaboration and training
• Respond to client communications
• Ensure compliance with regulatory requirements

Education and Other Designations:

• Bachelor's degree or higher
• 2+ years of similar working experience
• Ability to obtain or currently hold Series 7 and 66 licenses, State life, accident, and health insurance licenses, CFP designation

Key Traits of a Successful Associate Financial Advisor:

• Ability to meet with clients and present planning strategies
• Ability to source prospective clients
• High level of interpersonal skills
• Initiative in business development
• Entrepreneurial perspective and desire to grow the business
• Ability to recommend suitable investment products and services
• Success at planning and managing resources (time, people, budget) to run optimal practice
• Ability to adhere to rules and regulations as stated and required by advisor, Ameriprise Financial
• Ability to support and provide guidance for compliance within the advisor’s practice
• Current client database a plus

Salary and Benefits:

• Competitive and commensurate with candidate qualifications and experience.
• 401(k) with matching and profit sharing
• Medical, Dental, Life, Disability Insurance
• Transit Stipend

If you are a client service focused individual with 2 or more years of experience, we encourage you to contact us and explore an opportunity with our firm. All inquiries will be held in strict confidence.