REGISTERED FINANCIAL ADVISORS - HUDSON VALLEY, NY and Tri-State Area (NY/NJ)

Job Description

Job Description

REGISTERED FINANCIAL ADVISORS – HUDSON VALLEY, NY and Tri-State Area (NY/NJ)

Applicants must hold active FINRA licenses (SIE, Series 7, and Series 66 or 63/65).

CFP A REAL PLUS.

If you do not have these licenses, please do not apply. $DOLLAR POTENTIAL STRONG SIX FIGURES.

Locations:

• HUDSON VALLEY, NY

1. New Windsor, NY
2. Poughkeepsie, NY

• TRI-STATE AREA NY/NJ

1. Red Bank, NJ
2. Bronx, NY
3. New York, NY (Manhattan)

COMPENSATION:

DOE (Depending on Experience) — LUCRATIVE PACKAGES TO BE DISCUSSED DIRECTLY WITH THE EMPLOYER. ADVANCES, LOANS, SIGN ON ALL POSSIBLE. The company also offers an attractive benefits package, competitive compensation, and—depending on experience and book size—a potential recruiting bonus in the form of a forgivable loan.

Qualifications

• Bachelor’s degree in Finance or equivalent combination of education and experience (highly preferred).
• Active registration: SIE, Series 7, and Series 66 (or Series 63/65).
• CFP A REAL PLUS
• Minimum of three years of related brokerage or financial advisory experience.
• Existing book of business of at least $200,000 or more, with demonstrated production and client growth.
• Proven track record of client development, relationship management, and revenue generation.
• Proficient in MS Word, Excel, and PowerPoint.
• Strong attention to detail, organizational ability, and multi-tasking skills.
• Excellent verbal and written communication skills.

Key Responsibilities

• Develop and maintain long-term client relationships through personalized financial planning and investment advisory services.
• Manage and grow an existing book of business while developing new opportunities from firm-provided warm leads.
• Provide tailored investment advice aligned with each client’s goals and financial profile.
• Stay current on market trends, product knowledge, and compliance regulations.
• Collaborate with tax and wealth management divisions to deliver comprehensive financial solutions.
• Ensure adherence to FINRA and firm compliance policies.
• Maintain accurate client documentation and reporting.

• Our client, a nationally recognized private wealth and investment management firm, is expanding nationwide and seeking experienced Registered Financial Representatives / Financial Advisors to join its growing team.
• This leading organization provides comprehensive, collaborative financial solutions to individuals and families, businesses and institutions, non-profits, trusts, foundations, and endowments. Services include fee-based asset management and advisory, as well as securities and insurance products, including fixed annuities (excluding variable products).
• This is an exceptional opportunity to join a prestigious national brand with a solid client base, excellent compensation, and strong growth potential within a supportive, team-oriented environment.
• What sets this firm apart is its ability to help advisors grow their business through consistent warm leads generated from its extensive tax client base, providing a unique platform for sustainable success.