Independent Financial Advisor

Summary

Join our team as an Independent Financial Advisor and provide personalized financial planning, investment management, and wealth-building strategies to individual and business clients. This flexible role allows you to operate independently while building strong client relationships. You will develop comprehensive financial plans, provide investment advice, and ensure compliance with all regulations. Business development and client education are key aspects of this position. A bachelor's degree in a related field, relevant licenses (Series 7 and 66), and 3-5 years of experience are required. The compensation is commission-based or a combination of base salary and incentives, with the potential to earn fees based on assets under management.

Requirements

• Bachelor's degree in Finance, Economics, Business Administration, or a related field
• Licenses: Series 7 and 66 (or equivalent), and state insurance licenses as applicable
• Minimum of 3-5 years of experience in financial planning, investment management, or related fields
• Strong analytical skills with a deep understanding of financial markets and instruments
• Excellent interpersonal and communication skills, with the ability to simplify complex financial concepts for clients
• Proficiency in financial planning software and tools

Responsibilities

• Meet with clients to understand their financial goals, risk tolerance, and current financial situation
• Establish and maintain long-term relationships by delivering consistent value and support
• Develop comprehensive financial plans tailored to client objectives, including retirement, investment, estate, tax, and insurance planning
• Evaluate financial products and services to determine alignment with client needs
• Provide recommendations on investment portfolios and asset allocation strategies
• Monitor market trends, economic conditions, and portfolio performance to adjust strategies as needed
• Ensure adherence to all regulatory standards, including SEC and FINRA requirements
• Maintain current licenses and certifications (e.g., Series 7, Series 66, CFP®)
• Identify and cultivate new client opportunities through networking, referrals, and marketing efforts
• Build a personal brand and reputation within the community as a trusted financial advisor
• Educate clients on financial principles and investment strategies to empower informed decision-making
• Provide clear and transparent communication about potential risks and benefits of financial decisions

Preferred Qualifications

Master’s degree or CFP® designation

Benefits

• Commission-based income or a combination of base salary plus incentives
• Potential to earn fees based on assets under management (AUM)
• Flexibility to establish your practice with the support of a broker-dealer or financial services firm, if desired
• Freedom to set your schedule and choose your clients
• Access to a broad range of financial products and resources
• Opportunity to make a significant impact on clients’ financial well-being and success