Servicing Financial Advisor

Job Description

Servicing Financial Advisor

Location: Endicott, NY, On-Site

Employment Type: Full-Time

Reports To: Senior Financial Advisor / Managing Partner

Position Summary

We are seeking an experienced, client-focused Servicing Financial Advisor to join our growing wealth management team in Endicott, NY. This role is ideal for a fully licensed financial professional who excels at building and maintaining client relationships and delivering exceptional service. The successful candidate will assist in the transition and ongoing servicing of an established book of business, ensuring continuity, trust, and a superior client experience.

This position does not require an existing book of business. Instead, the focus is on client retention, relationship management, financial planning support, and helping clients navigate their financial goals through personalized advice and proactive service.

Key Responsibilities

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• Assist with the transition and integration of an existing book of business.
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• Develop and maintain strong relationships with existing clients through regular meetings and ongoing communication.
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• Conduct client review meetings and provide recommendations aligned with clients' financial objectives.
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• Support the creation, implementation, and monitoring of comprehensive financial plans.
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• Collaborate with senior advisors and support staff to ensure seamless client service.
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• Identify additional planning opportunities within existing client relationships.
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• Respond promptly to client inquiries and service requests.
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• Maintain detailed client records and documentation in accordance with firm policies and regulatory requirements.
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• Stay current on investment products, market conditions, financial planning strategies, and industry regulations.
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• Ensure compliance with FINRA, SEC, and firm standards.
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Required Qualifications

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• Active FINRA registrations, including:
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• Series 7
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• Series 66 (or Series 63 and 65)
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• Appropriate Life, Accident & Health Insurance licenses.
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• Certified Financial Planner™ (CFP®) designation preferred; other relevant professional designations or advanced degrees, such as CPA, CIMA®, CFA®, MBA, or equivalent, will also be considered.
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• Minimum 3-5 years of client-facing financial advisory or wealth management experience.
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• Proven ability to build trust and manage client relationships.
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• Strong understanding of financial planning, retirement planning, investments, and wealth management strategies.
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• Excellent interpersonal, communication, and presentation skills.
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• Strong organizational skills and attention to detail.
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• Ability to work collaboratively within a team-oriented environment.
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• Local to the Endicott, NY area or willing to relocate.
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Preferred Qualifications

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• Experience servicing high-net-worth and mass affluent clients.
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• Experience transitioning or inheriting client relationships from another advisor.
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• Familiarity with financial planning software and CRM platforms.
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• Experience working within an independent RIA, hybrid RIA, or broker-dealer environment.
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What Success Looks Like

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• Successful transition and retention of assigned client relationships.
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• High client satisfaction and engagement levels.
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• Consistent delivery of financial planning and investment guidance.
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• Strong partnership with the advisory team to support growth and continuity initiatives.
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• Maintenance of all regulatory and compliance standards.
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Compensation & Benefits

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• Competitive base salary plus bonus opportunity.
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• Benefits package including health insurance, retirement plan, paid time off, and professional development support.
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• Opportunity to work with an established client base and participate in long-term succession planning.
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