Job Description

SUMMARY / OVERVIEW

Located in Sacramento, California, Midtown Financial is seeking a Financial Advisor. This position will be an integral part of an established and growing financial planning and investment management practice.

The Advisor reports to the Lead Advisor and serves as the primary contact for customer relationship management and account servicing. This position requires a strong understanding of the financial services industry and products and is critical in handling day-to-day client management on behalf of the Lead Advisor. If you find gratification in serving and caring for other people, possess a welcoming personality, are committed to displaying a positive attitude through all client interactions, and have an interest in owning your own financial planning practice within 5 years, we want to hear from you.

ESSENTIAL DUTIES AND RESPONSIBILITIES

Support Lead Advisor of a large book of business including managing client needs regarding service, asset allocation, case design and financial planning

Consult with clients on investment strategies based on individual financial and investment objectives; deliver advice and participate in client reviews

Manage data and plans in financial planning software

Responsible for client meeting preparation and follow-up including assembling requisite paperwork, account reviews, report generation and meeting documentation

Identify sales and asset retention opportunities; including viable alternatives when traditional solutions may not apply

Deepen client relationships and establish credibility and rapport both in person and via phone

Clearly articulate complex concepts to customers

Ability to manage and prioritize multiple and competing priorities on a daily basis in pursuit of business objectives

Active engagement in marketing and sales efforts to build own book of business

Commitment to culture requires a demonstration of professionalism, accountability, customer/client focus, and teamwork

Other duties as assigned

SUPERVISORY RESPONSIBILITIES: None

REQUIREMENTS

KNOWLEDGE, SKILLS, AND/OR ABILITIES

• Possess a genuine interest in serving and caring for clients; energetic, eager to learn, display a positive attitude through all client interactions
• Detail oriented with a commitment to accuracy, confidentiality, ethical behavior and high-quality work
• Strong understanding of financial services industry and diverse investment products
• Basic computer skills (Outlook, Word, Excel and Power Point) are essential
• Excellent communication skills, both verbal and in writing; project a courteous, friendly and professional demeanor
• Strong time management and organizational skills; able to work independently and effectively manage multiple tasks at once; deadline focused, dependable, trustworthy and dedicated
• Ability to build relationships with clients and internal partners and influence others without direct control

EDUCATION AND/OR EXPERIENCE

• Bachelors degree in finance, accounting or related field
• The ideal candidate will have 1+ years of experience in the financial services industry allowing for a strong understanding of broker/dealer operations and financial services products, including but not limited to: equities, bonds, options, mutual funds, annuities, insurance, and managed accounts.
• Previous experience in the independent financial services culture preferred

CERTIFICATES, LICENSES, REGISTRATION

• FINRA Series 7 and 66 required.
• California Life Agent License required.
• CFP Certification preferred.

BENEFITS

COMPENSATION

• Compensation is determined by qualifications, experience, the external market, organization financials, and specific performance requirements
• Salary is generally reviewed annually or if responsibilities and/or job requirements change. Salary increases are not guaranteed
• Paid time off and paid holidays included
• Basic health and dental insurance benefits are provided