Securities Licenses Sponsorship

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Company Description

Vested in your success – 100 percent. With decades of experience, Transamerica Financial Advisors, Inc. is a full-service, fully licensed, independent Broker/Dealer and Federally Registered Investment Advisor. Our business revolves around your success. We currently handle more than $14 Billion in customer assets(*), with over 2,700 Registered Representatives (*) serving clients in branch offices across the country. For decades, Transamerica Financial Advisors, Inc.

has provided clients with the resources of a large corporation and the personalized service of a small firm. Transamerica Financial Advisors' financial professionals have the freedom and flexibility to offer clients investment choices from some of the most familiar names in the industry.

Job Description:

As a Securities Licensed Representative working with our Broker-Dealer, you will play a vital role in assisting clients with their investment needs and facilitating securities transactions. You will be responsible for providing personalized investment recommendations, executing, and ensuring compliance with regulatory requirements. This role offers an exciting opportunity to work in a dynamic environment and develop business skills experience (or gain experience) in the financial services industry.

NOTE:
This is an opportunity as an independent contractor.

This is not an offer of employment.

Responsibilities:

• Client Consultation: Conduct thorough consultations with clients to understand their financial goals, risk tolerance, and investment preferences.
• Investment Recommendations: Provide tailored investment recommendations based on clients' objectives, including recommending suitable securities, mutual funds, ETFs, and other investment products.
• Trade Execution: Execute securities trades on behalf of clients, ensuring accurate and timely processing of transactions while adhering to regulatory requirements and internal policies.
• Compliance: Ensure compliance with applicable regulations, including FINRA rules, SEC regulations, and internal compliance policies. Maintain accurate records of client interactions and transactions.
• Product Knowledge: Stay informed about market trends, economic developments, and investment products to provide informed investment advice to clients.
• Relationship Management: Build and maintain strong relationships with clients through regular communication, providing excellent service, and addressing their investment needs.
• Education and Guidance: Educate clients about investment principles, risks, and opportunities to empower them to make informed financial decisions.
• Team
  
  Collaboration:
  
  Collaborate with colleagues, including financial professionals, compliance professionals, and support staff, to deliver comprehensive financial solutions and ensure a seamless client experience.

Qualifications

• No previous experience in the financial services industry is required. We offer a unique opportunity for individuals who have always dreamed of entering the industry without needing to quit their current career. Our transition method allows for a seamless entry into the field, option to maintain a flexible schedule if preferred. Minimum production quotas are very lenient and there are no minimum required hours.
  
  We are seeking self-motivated individuals eager to learn and grow in the financial services industry.
• Competitive compensation package, with performance-based incentives.
• Opportunities for professional development and advancement within the organization.
• Dynamic and supportive work environment with a focus on teamwork and collaboration.

Join our team as a Securities Licensed Representative and embark on a rewarding career in the financial services industry, helping clients pursue their investment goals while adhering to the highest standards of professionalism and integrity.

Transamerica Financial Advisors, Inc. (TFA), Member FINRA, MSRB, SIPC and federally Registered Investment Advisor, offers securities and Investment Advisory Services. To become a registered representative of Transamerica Financial Advisors, Inc. you must first become an associate with World Financial Group, Inc.

(*) As of December 2023. Source ""

TFA-3871156

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