Associate Financial Advisor

Interested in acquisition of experienced fee only Associate Registered Investment Advisor/Financial Advisor looking to expand current book of business and merge into our team for the Williamson County areas. The Associate Financial Advisor will be a member of a successful team; yet work independently to create his/her own individual success with unlimited earning

potential. The Associate Financial Advisor has the opportunity to build an excellent business under the leadership and reputation of tenured team while offering products and services.

Responsibilities

• Create a smooth transition for existing book of business.

• Retention of current book goal: 60%+

• Proactively seek new client relationships.

• Call on all hot leads

• Sources prospective business opportunities by capitalizing on networking and referrals.

• Demonstrate exceptional follow-up skills.

• Services and delivers financial planning to client base

• Proactively communicates with clients.

• Promotes the companies wealth enhancement and planning services.

• Promotes established investment models and strategies that are suitable for our targeted clients.

• Embraces a team approach, as well as communicate and collaborates with other advisors and staff.

• Adheres to all company and industry supervisory guidelines and policies.

• Participates in required meetings, training, community events, and continuing education requirements.

• Adheres to compliance with all SEC regulations and laws, including those for consumer protection and the Bank Secrecy Act/Anti-Money Laundering Program.

• Performs other duties as assigned.

Industry Experience Requirements

• At least 3 years of financial planning and/or investment advisory experience preferred.

• Experience with servicing high net worth clients.

• Active 65/66 licenses.

• Clean U-4 and U-5 history.

• Certified Financial Planner (CFP) preferred.

• Series 7 preferred, not required.

• Life & Health Insurance Licenses preferred not required.

Knowledge, Skills, Abilities

• Excellent verbal, written, presentation, and interpersonal communication skills.

• Superior relationship management and business development skills.

• Excellent attitude and an extraordinary client service orientation.

• Excellent organizational and time management skills.

• Proficiency with Microsoft Office Suite.

• Experience with E-Money financial planning software.

• Bachelor's degree or higher strongly preferred