Financial Advisor (Multiple Levels)- West Harlem/ Bronx, NY
$66,560–$117,520 year
On-siteNew York, United States
New York, United StatesOn-siteFull Time$66,560–$117,520 yearEnterprise
Full TimeEnterprise
Job Summary
Conduct client discovery and financial needs analysis to deliver goals-based investment advice and maximize wallet share. Execute annual client reviews, manage prospecting and lead generation, and refer business to Retail and Wealth partners. Ensure full compliance with regulations, implement customer due diligence, and coach new advisors on sales techniques and referral processes. Serve as the primary point of contact for TD Wealth clients while meeting quarterly and annual sales targets in a fast-paced environment.
Required Qualifications
- Bachelor's degree strongly preferred
- 2+ years of providing advice, planning and investment sales
- SIE, Series 7, Series 63 required
- Required to have L&H and Series 66 (or equivalent) or the ability to obtain all within the Licensing and Registration Schedule
- Consultative sales experience required
- Demonstrated ability to establish relationships and partner effectively with other departments
- Proven ability to achieve sales goals
- Ability to travel within assigned market to meet prospects, clients and partners five days a week
- Ability to commute within assigned territory
- Strong understanding and experience interacting with retail and small business banking clients
- Must be eligible for employment under standards established by FINRA
- Satisfactory results on a criminal background check, credit report check, civil litigation search, and regulatory agency or self-regulatory organization enforcement action search
- Statements/certification from job applicant regarding administrative, civil, and/or criminal findings by any government agency/authority or self-regulatory organization
Desired Qualifications
- Self-directed, with strong ability to plan own activities to achieve sales and referral goals
- Advanced understanding of wealth products and services
- Strong verbal and written communication skills
- Strong organizational and time management skills
- Strong understanding of wealth management business development techniques
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