Associate Financial Advisor / Servicing Advisor (North Haven)

Associate Financial Advisor/Servicing Advisor

Location: North Haven, CT (In-office, Monday to Friday; hybrid after training/acclimation period)

Industry: Wealth Management / RIA /Broker Dealer

Salary: $75,000 to $100,000 base DOE plus 10 - 20% annual bonus potential

Our client is a thriving and rapidly growing independent wealth management firm with over $2.5 billion in AUM, focused on delivering objective, client-first financial advice to individuals and families. The firm emphasizes collaboration, integrity, and long-term relationships in a close-knit, entrepreneurial environment.

This role serves as a primary point of contact for existing clients, providing high-touch service, investment support, trading responsibilities, and foundational financial planning assistance in partnership with senior advisors. There are multiple paths for long-term growth based on your career aspirations. You may choose to continue developing as a Servicing Advisor, focused on managing and deepening existing client relationships, or build your own book of business over time through networking, referrals, inbound leads, and other business development efforts, with the opportunity to grow into a full Advisor role.

Key Responsibilities

• Address client questions and provide support on financial planning, investment, and other wealth management related matters
• Provide financial planning support, including gathering client data and assisting with plan implementation
• Participate in client meetings, presenting investment ideas, portfolio updates, and recommended solutions alongside advisors
• Support financial advisors with investment research, analysis, and trade execution
• Coordinate client service requests and account maintenance in collaboration with advisory and operations teams
• Maintain accurate client records and documentation in CRM and portfolio management systems
• Ensure client interactions and activities comply with firm policies and regulatory requirements
• Build trusted, long-term client relationships through consistent and proactive communication

Qualifications

• Active FINRA Series 7 and Series 63 registrations required; additional licenses or willingness to obtain insurance licensing a plus
• CFP designation or actively working toward the designation is preferred
• 1+ years of relevant experience in wealth management, investment advisory, or a comparable financial services environment (RIA, independent broker-dealer, or private wealth firm)
• Strong understanding of investment products, portfolio construction, and market fundamentals, with the ability to explain recommendations clearly to clients.
• Ideally Product/Asset class knowledge would ideally include 2 or more: Equities, Fixed Income, Insurance, Alternatives, Annuities, TAMPS, Donor Advised Funds etc.
• Experience supporting or delivering financial planning conversations alongside senior advisors
• High level of ownership, accountability, and discretion when managing client relationships and sensitive financial information
• Proactive, self-motivated, and passionate about helping clients and supporting team success

What Our Amazing Client Offers

• Competitive base salary of $75,000 to $100,000, commensurate with experience, plus 10 - 20% annual bonus potential
• Robust benefits package, including 75% employer-paid health, dental, and vision insurance. Life and disability insurance also offered.
• 401(k) with 3% safe harbor match to help you build long-term financial security
• Hands-on mentorship from senior advisors, paired with structured learning and professional development
• A clear path to advancement into a full advisor role if desired
• A collaborative, close-knit team culture built on integrity and long-term relationships
• Generous PTO plus paid holidays with a firm that values work-life balance
• Flexibility to transition to a hybrid schedule once fully acclimated to the role
• If interested, revenue sharing opportunity for candidates who bring existing client relationships and/or develop new clients during tenure