Investment Advisor with FINRA Licenses
Job Summary
To support a growing client base, the full-time remote Investment Advisor with FINRA Licenses will service individual clients and brokerage customers, conduct reviews, provide investment advice, and execute trades for taxable brokerage and IRA accounts.
Key responsibilities
- Educate clients on available advisory services and assist them in understanding retirement options
- Perform financial planning aspects and identify client needs for referrals to the Wealth Advisor Team
- Ensure compliance with regulatory requirements while delivering a responsive client experience
Required qualifications
- Bachelor's degree or equivalent work experience
- 4+ years of financial customer service experience
- Brokerage and mutual fund trading experience
- FINRA Series 7 and Series 63 and 65, or Series 66, registrations
- FINRA fingerprinting required
Complete Job Description
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