Financial Advisor (Multiple Levels)-Manhattan, NY
$66,560–$117,520 year
On-site · New York City, New York, United States
Job Summary
Financial Advisor role in Manhattan, NY, described as a three-year program with a forgivable draw, focusing on providing financial planning guidance and selling investment management solutions. Responsibilities include delivering a complete onboarding experience for NEW clients, conducting thorough client discovery and needs analyses to provide goals-based advice, coordinating with the centralized servicing team, promoting lead generation, achieving quarterly and annual sales goals, expanding wallet share through referral opportunities, and ensuring compliance with regulations (OCC, SEC, NYDFS, FINRA) and internal policies. The position involves travel within the assigned market, ongoing client relationship management, coaching and training teammates, and contributing to a professional, service-driven TD Wealth environment. Educational preference is a Bachelor's degree, with required licenses including SIE, Series 7, Series 63, and Series 66 (or ability to obtain), plus strong communication, organizational, and wealth-management expertise. The role emphasizes client-centric service, annual reviews, and cross-department collaboration to deliver differentiated wealth solutions.
Required Qualifications
- Bachelor's degree strongly preferred
- SIE, Series 7, Series 63 required
- Series 66 (or equivalent) or ability to obtain within Licensing and Registration Schedule
- Strong verbal and written communication skills
- Travel within assigned market to meet prospects, clients and partners five days a week
- Demonstrated ability to establish relationships and partner effectively with other departments
- Consultative sales experience required
- FINRA/SEC regulatory compliance knowledge
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