Job Description
The grass truly is greener as an independent business owner—but independence doesn’t mean going it alone. Our team is here to support you, with a full-time compliance officer, a CFA charter-holding CIO, and leadership from a producing CFP. We understand the resources you need to grow your business, safeguard your practice, and serve your clients effectively.
- Independent Financial Advisor Benefits:
- Competitive compensation package. (80 to 90% payouts)
- Backed by one of the largest broker-dealers in the USA.
- Supportive and collaborative team environment: Trading, Compliance and Operations
- Independent Financial Advisor Responsibilities:
- Build and maintain strong client relationships.
- Provide comprehensive financial planning advice, including investment strategies, retirement planning, estate planning, and insurance.
- Conduct financial needs assessments and develop personalized financial plans.
- Manage client portfolios and provide ongoing investment management services.
- Educate clients on financial concepts and market trends.
- Generate leads and build a strong referral network.
- Comply with all applicable regulatory and compliance requirements.
- Independent Financial Advisor Qualifications:
- Proven track record of success in the financial services industry. (minimum of $200k in annual Fee production)
- Excellent communication, interpersonal, and presentation skills.
- Strong analytical and problem-solving skills.
- Client-focused and results-oriented.
- Series 7 and 66 (or 63 & 65) licenses are preferred. CFP is a plus.
- A Bachelor's degree in finance, economics, or a related field is preferred.
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