- A clear transition plan and timeline so you know what to expect, and when
- Our orientation course to give you an overview of all the tools and services available to you
- Assistance with account transfers and paperwork, and frequent updates on their status
- Help with communications to your current clients about your transition
- In-person, online, and self-guided training on the breadth of our AdviceWorks technology platform
- New business cards, stationery, and email address
- An introduction to our vast marketing resources, so you can start using them with current and prospective clients
-
Financial Advisor
3 days ago
Northwestern Mutual Manhattan Beach, United StatesOur group in Manhattan Beach, CA is seeking a highly motivated and driven individual to join our team as a Financial Advisor at Northwestern Mutual. As a Financial Advisor, you'll work collaboratively with other professionals to provide comprehensive and innovative financial plan ...
-
Financial Advisor
8 hours ago
Northwestern Mutual Manhattan Beach, United StatesFinancial Advisors at Northwestern Mutual help their clients through our personalized approach to financial planning. As a business owner, they spend their days acquiring clientele and finding financial solutions with help from our industry-leading training and development, mento ...
-
Financial Advisor
3 weeks ago
Northwestern Mutual Manhattan Beach, United StatesFinancial Advisors at Northwestern Mutual help their clients through our personalized approach to financial planning. As a business owner, they spend their days acquiring clientele and finding financial solutions with help from our industry-leading training and development, mento ...
-
Financial Advisor
2 weeks ago
Northwestern Mutual Manhattan Beach, United StatesOur group in Manhattan Beach, CA is seeking a highly motivated and driven individual to join our team as a Financial Advisor at Northwestern Mutual. As a Financial Advisor, you'll work collaboratively with other professionals to provide comprehensive and innovative financial plan ...
-
Financial Solutions Advisor
3 weeks ago
Regal Executive Search Torrance, United StatesJob DescriptionFinancial Solutions Advisor · Position Description · The primary role of the Financial Center Financial Solutions Advisor (FSA) is to deepen banking and investment relationships with Mass Affluent customers. Located in Financial Centers with a concentration of Ma ...
-
Financial Advisor
3 weeks ago
Northwestern Mutual Santa Monica, United StatesOur district office in Santa Monica, CA is seeking a highly motivated and driven individual to join our team as a Financial Advisor at Northwestern Mutual. As a Financial Advisor, you'll work collaboratively with other professionals to provide comprehensive and innovative financi ...
-
Financial Advisor
8 hours ago
Northwestern Mutual Los Angeles, United States***Must be based within commuting distance of 90071 to be considered*** · Considering a career in the financial services industry? At Northwestern Mutual Los Angeles, our team of financial advisors build their career by helping individuals, families and businesses create clarity ...
-
Financial Advisor
3 weeks ago
Mission Creek Capital Partners Inc Los Angeles, United StatesCompany DescriptionWe are an independent registered investment advisor (RIA) firm in the San Francisco Bay Area. We provide specialized investment management strategies and solutions for a range of clients, including institutions, limited partnerships, family offices, executives, ...
-
Financial Advisors
8 hours ago
Manhattan West Los Angeles, United StatesManhattan West Enterprise Company ("Manhattan West") is seeking Financial Advisors to join our Private Wealth team. This is an excellent opportunity to join a modern and fast-growing investment firm that provides proprietary alternative investments across multiple asset classes i ...
-
Financial Advisor
2 weeks ago
Capstone Partners Financial and Insurance Services Los Angeles, United StatesCapstone Partners is seeking an experienced financial advisor to join our team in Q3, to partner with us on our mission to impact the lives of your clients in Southern California. · Is any of this important to you or your business? · Full equity ownership of your book (plus, supp ...
-
Financial Advisor
3 days ago
Strategic Fortune Wealth Management West Covina, United StatesAbout Us: Strategic Fortune Wealth Management, a boutique wealth management firm in Greater Los Angeles, is seeking talented and driven individuals to join our expanding team of professional advisors. We provide a forum for advisors to launch themselves into the financial service ...
-
Financial Advisor
3 weeks ago
Leah Yosef International Los Angeles, United StatesFull Service Multi-Family Office · OverviewBoutique Independent Wealth Management Firm / Multi-Family Office seeks a Lead Wealth Advisor to join a collegial, entrepreneurial and dynamic organization. Clear track towards equity ownership. · HighlightsHigh Net Worth and Ultra Hig ...
-
Financial Advisor
6 days ago
Ameriprise Financial Los Angeles, United StatesAttend and engage in coaching and training led by the leadership team and established advisors. - Generate client prospects by attending local tradeshows and events, hosting seminars, joining networking groups, utilizing online marketing venues, and Financial Advisor, Advisor, Fi ...
-
Financial Advisor
6 days ago
Equitable Services Los Angeles, United StatesJob Description · Equitable Advisors is a respected wealth management firm with a proven track record in the industry. We are driven by our mission to help our clients secure their financial well-being providing them confidence to pursue long and fulfilling lives. We have a pass ...
-
Financial Advisor
1 week ago
Northwestern Mutual Santa Monica, United StatesOur district office in Santa Monica, CA is seeking a highly motivated and driven individual to join our team as a Financial Advisor at Northwestern Mutual. As a Financial Advisor, you'll work collaboratively with other professionals to provide comprehensive and innovative financi ...
-
Financial Advisor
1 week ago
Wealth Enhancement Group Los Angeles, United StatesJob Description: · About Wealth Enhancement Group · Wealth Enhancement Group is an independent wealth management firm offering comprehensive and customized financial planning and investment management services. Founded in 1997, we now have over 83 offices nationwide and are rap ...
-
Financial Advisor
2 weeks ago
Northwestern Mutual Los Angeles, United StatesJob Description · Job Description We are seeking an eager, strategic, and definitive financial advisor to fill an entry-level position that offers room for growth and a promising job outlook. Our ideal candidate will be driven by the need to help clients identify and achieve the ...
-
Financial Advisor
6 days ago
Northwestern Mutual Los Angeles, United States***Must be based within commuting distance of 90071 to be considered*** · Considering a career in the financial services industry? At Northwestern Mutual Los Angeles, our team of financial advisors build their career by helping individuals, families and businesses create clarity ...
-
Financial Advisor
3 weeks ago
Northwestern Mutual Los Angeles, United StatesJob Description · Job DescriptionWe are seeking an eager, strategic, and definitive financial advisor to fill an entry-level position that offers room for growth and a promising job outlook. Our ideal candidate will be driven by the need to help clients identify and achieve their ...
-
Financial Advisor
2 weeks ago
Capstone Partners Los Angeles, United StatesCapstone Partners is seeking an experienced financial advisor to join our team in Q3, to partner with us on our mission to impact the lives of your clients in Southern California. · Is any of this important to you or your business? · Full equity ownership of your book (plus, su ...
Financial Advisor - Hawthorne, United States - Cetera Investment Services LLC
Description
JOB FUNCTION / SUMMARY:
Financial Advisors consult with clients and prospective clients to determine the best course of action(s) designed to help meet their financial and investment goals.
ESSENTIAL DUTIES & RESPONSIBILITIES:
Completes a suitability review with client to assess the investor's financial situation, including, but not limited to, his age, income, net worth, current investments, investment experience and objectives, investment time horizon, risk tolerance, and liquidity needs.
Discusses benefits and risks as well as other product features pertaining to possible investment solutions for the client.
Recommends product(s) and/or services based on the information provided by the client that are suitable for the investor's needs.
Meets with existing clients periodically to update them on potential investments and to determine whether any life changes (marriage, disability, retirement, etc.) have occurred that may affect their financial and investment goals.
Completes all client's paperwork in accordance with compliance and company guidelines including providing prospectus if applicable.Receives client's trade orders and instructions for money movement and processes according to regulatory requirements.
Reviews all paperwork for accuracy and completeness before forwarding to HWIS operations for processing
Creates and maintains a weekly appointment schedule of branch location to meet with clients
Trains branch personnel on how to make referrals
Assists and supports in meeting their referral and investment goals by organizing call parties, client appreciation days, etc.
Attends branch meetings to monitor needs of branches
Looks for cross-referral opportunities to direct deposit, loan, trust
Attends annual compliance continuing education meeting held by Hancock Investment Services
Successfully completes required continuing education in compliance with both insurance and securities regulations
Renews insurance license on an annual basis prior to deadline
Complies with State Insurance and Securities regulations
Uses a consultative sales process, determines client needs, obtains commitment and proposes solutions
Coordinates with bank business partners in order to have the opportunity meet with bank clients and determine how to meet their investment needs
Participates in community affairs to increase company and bank's visibility and to enhance new business opportunities
Compiles lists of prospective clients to provide leads for additional business
Contacts and qualifies prospective clients and develops an action plan to assess their investment needs, acceptable risk level and to present solutions.
Develops long-term relationships with clientsContinually expands product knowledge and consultative selling skills through self-study and continuing education programs
Serves as a business partner to bankers and fellow financial advisors
SUPERVISORY RESPONSIBILITIES:
No
MINIMUM REQUIRED EDUCATION, EXPERIENCE & KNOWLEDGE:
Bachelor's degree preferably in Business, Finance, Accounting or related field.
2+ years of related experience in Brokerage/Insurance and/or Banking/Retail
An equivalent combination of education, training, and experience may be considered.
Must currently possess Life and Health Insurance License – fixed annuity and variable annuity and be in good standing
Must currently possess FINRA Investment License(s) – Series 7, 63, 65/66 and be in good standing
Ability to learn, understand and communicate all investment products and procedures of the company
Ability to identify selling opportunities to up-sell and cross-sell bank products and services
Ability to interact with individuals of widely divergent lifestyles
ESSENTIAL MENTAL & PHYSICAL REQUIREMENTS:
Ability to travel if required to perform the essential job functions
Ability to work under stress and meet deadlines
Ability to operate related equipment to perform the essential job functions
Ability to read and interpret a document if required to perform the essential job functions
Ability to lift/move/carry approximately 10 pounds if required to perform the essential job functions.
If the employee is unable to lift/move/carry this weight and can be accommodated without causing the department/division an "undue hardship" then the employee must be accommodated; hence omitting lifting/moving/carrying as a physical requirement.
Equal Opportunity/Affirmative Action Employers.All qualified applicants will receive consideration for employment without regard to race, color, religious beliefs, national origin, ancestry, citizenship, sex, gender, sexual orientation, gender identity, marital status, age, physical or mental disability or history of disability, genetic information, status as a protected veteran, disabled veteran, or other protected characteristics as required by federal, state and local laws.
CETERA INVESTMENT SERVICES
Cetera is nationally recognized as a self-clearing broker-dealer, registered investment adviser, and insurance agency serving the clients of nearly 500 institutions with assets ranging from $15 million to $13 billion nationwide.
At Cetera, we're committed to helping you reach your goals – both professionally and personally.From outstanding income potential and scheduling flexibility to round-the-clock support and best-in-class training, the Cetera team continues to build on a reputation for success that is more than 30 years in the making.
As a member of our organization, you'll have access to:#J-18808-Ljbffr
