Associate Financial Advisor

About the company:
You have a proven track record of success but you’re looking for more. More responsibility. More challenges. With our client, you’ll find that opportunity. You’ll join a team of people who are smart and share your values. You can enjoy a diverse career as you learn and grow your capabilities across our multiple lines of business. Their supportive environment can help you make a difference within the company and the communities we serve.

Our client is a nationwide, diversified financial services company with $1.7 trillion in assets. Wealth and Investment Management (WIM) is one of the company’s four main divisions. WIM businesses build enduring client relationships through sound, thoughtful and objective advice. You’ll help clients by developing individualized plans for everything from retirement goals to business succession planning, to family legacy intentions. Services include comprehensive planning and advice, investment management, brokerage, private banking, estate planning strategies, trust, insurance and both individual and institutional retirement. You’ll have unprecedented choice and flexibility supported by established products, services and technology.
About the job:
 The Associate Financial Advisor (AFA) participates in the financial advisor training program on a full-time basis and will be partnered with a Senior Financial Advisor. Qualified candidates will enter a comprehensive development and apprenticeship period offering a structured and supportive program designed to reward individual and team contribution while meeting personal, professional and organizational client service and financial goals. The Associate Financial Advisor will be fully trained and supported with the tools, resources, and coaching to serve as an apprentice to a Senior Financial Advisor while providing clients with financial advice consistent with client goals and risk tolerance. The AFA will be tasked to meet with clients, collect financial information, assess investment profile and evaluate client financial needs while providing enhanced service to deepen the relationship. The AFA will work to retain and increase existing client accounts (through developing financial plans and other needs-based solutions) and cultivate new clients over time. The AFA will gain more responsibility as experience increases and will transition from client service to relationship management and ownership. This person must complete online training, participate in classroom training, pass Compliance exams on products and suitability, and complete the activity requirements of the program.

In addition to the professional qualifications outlined above, we are specifically looking for team members who have the following background:

  • Energetic self-starter who is flexible, conscientious, proactive, and detail-oriented
  • Powerful communicator who reflects professional presence and is confident in interactions with clients and business partners
  • Self-driven, independent team member who effectively prioritizes and executes tasks and embraces new challenges
  • Highly dynamic individual who thrives in an interdependent team environment

Required Qualifications:

  • 1+ year of experience of one or more of the following customer service, sales, or relationship building or 6+ months of experience in financial services or BS/BA degree or higher or 3+ years of military experience

Desired Qualifications:

  • Ability to work effectively in a team environment and across all organizational levels where flexibility, collaboration, and adaptability are important
  • Excellent verbal, written, and interpersonal communication skills
  • FINRA registration including Series 7 and 66 (or FINRA recognized equivalents)
  • Established network in the local market
  • A BS/BA degree or higher
  • 2+ years of sales experience
  • 2+ years of financial services experience

Ongoing Job Expectations:

  • Registration for FINRA Series 7 and Series 66 (or 63 & 65) or FINRA recognized equivalents must be obtained to remain in this position.
  • Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position. In addition to state registration, specific product licenses or SAFE licensing may apply. Our client will initiate financial and criminal background review process at the time of offer acceptance.


  • Tuition reimbursement
  • Paid time off program
  • Medical/vision/dental/life insurance
  • Income replacement
  • Employee stock purchase plan
  • A 401(k) savings plan
  • Other wonderful benefits!

Learn more about this position.