Financial Advisor

Position Title : Financial Advisor Salary Range: $70,000 - $100,000 / DOE Step into an established book of business with the resources, autonomy, and earning potential to build something bigger. This Financial Advisor will initially partner with a retiring advisor before assuming responsibility for approximately $76 million in assets under management. The role combines relationship management, fiduciary investment guidance and business development, with a clear mandate to retain existing clients, generate referrals, attract new assets and expand the practice. The ideal candidate is a proven producer who thrives in a growth-focused environment. They are self-directed, entrepreneurial, and comfortable prospecting, presenting investment strategies, and introducing clients to both traditional and alternative investment opportunities. Financial Advisor Responsibilities: Partner with the retiring advisor to ensure a smooth transition of client relationships before assuming responsibility for the established book of business Manage relationships with both accredited and non-accredited investors, with an average client portfolio of approximately $500,000 Assess each client’s goals, risk tolerance and financial needs to recommend tailored investment solutions Deliver clear, compliant education on traditional investments, managed money and alternative investment opportunities Introduce appropriate clients to the firm’s proprietary alternative investment fund as part of a comprehensive portfolio strategy Actively prospect for new business through referrals, networking, local seminars and strategic business development Attend approximately 10 local marketing events annually alongside firm leadership Develop referral relationships and convert qualified prospects into long-term clients Retain existing assets while identifying opportunities to transition suitable accounts toward fee-based managed money Meet or exceed asset growth, production and revenue goals while maintaining fiduciary and regulatory standards Collaborate with operations and client service professionals to support onboarding, paperwork, account execution, scheduling and ongoing service Maintain accurate client records and follow all securities regulations, internal procedures and compliance requirements Take full ownership of priorities, follow-up, and results within a small, highly accountable office environment Financial Advisor Requirements: Active Series 65, Series 66, or equivalent license At least five years of experience as a Financial Advisor or in advisory or investment sales within an RIA or broker-dealer environment Proven record of prospecting, winning new business and growing client assets Strong knowledge of securities regulations, fiduciary responsibilities and compliance requirements Demonstrated ability to attract, develop and retain client relationships Strong sales, presentation, communication and interpersonal skills Entrepreneurial mindset with the discipline to work independently and take ownership of results Genuine enthusiasm for meeting people, earning referrals and building a larger book of business Comfort discussing alternative investments and evaluating strategies beyond traditional portfolio models Coachable, adaptable, and receptive to new ideas, mentorship, and performance feedback Ability to work onsite during the initial training and client-transition period No sponsorship or relocation assistance available Preferred Qualifications: Bachelor’s degree Active life and health insurance license Experience with Schwab, MoneyGuidePro, or comparable wealth management platforms Experience working with both managed money and alternative investments Benefits: Medical insurance with 60% of the premium covered after a 30-day waiting period Dental and vision plans 401(k) with a 6% employer match and no waiting period Three weeks of vacation with a flexible, adult approach to time off Standard holidays aligned with the New York Stock Exchange calendar Opportunities for equity participation Firm-paid compliance expenses and licensing costs Reimbursement for approved client lunches Dedicated operational and client service support Leadership investment in marketing, local events, and advisor growth Direct mentorship from a growth-oriented leadership team Long-term advancement opportunities within a stable and expanding firm If you are a driven Financial Advisor ready to inherit meaningful client relationships and turn an established practice into a high-growth book of business, apply today!

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