Investment Advisory

Investment Advisory Finance Jobs

13 jobs found

Investment Advisor Representative

Client Focused Financial Saint Petersburg, FL Hybrid

25d ago

$70k+/yr Full time Advisor Assets Under Management CFP

Advisor Assets Under Management CFP

Apply Now

Job Description

Job Summary

Join Client Focused Financial as an Investment Advisor, playing a key role in guiding clients toward achieving their financial goals through tailored investment strategies. You will apply your expertise in wealth management, financial planning, and financial analysis to deliver exceptional service and build lasting relationships. This role offers a dynamic environment where you help clients navigate complex financial landscapes with clarity and confidence. A proactive approach to client service and a solid understanding of investment management and financial planning will ensure clients receive comprehensive guidance aligned with their individual needs.

Duties

Develop personalized investment plans by evaluating clients’ financial situations, goals, and risk tolerance using advanced financial analysis tools.
Grow your book of business and client base by leveraging leading technology and robust investment analysis.
Cultivate strong client relationships through regular communication, educational sessions, and tailored financial planning advice.

Experience and Qualifications

Series 65, 66 license or CFP designation
3+ years of IAR experience
Current AUM $5M+

Compensation and Employment Type

Job Types: Full-time, Contract
Salary: From $70,000.00 per year

Location

Hybrid remote in Saint Petersburg, FL 33701

View full job page →

Investment Advisor Representative

The Quintessential Experience Jericho, NY

25d ago

$60k - $128k/yr Full time Advisor Commission-based Entry Level

Advisor Commission-based Entry Level

Apply Now

Job Description

Overview

Join The Quintessential Experience Financial Services as an Investment Advisor Representative. This role supports individuals, business owners, and families in securing their financial futures by delivering tailored solutions from a broad portfolio of products. You will be part of a growth‑oriented, entrepreneurial environment with access to strong sales tools and a wide network, enabling you to focus on activities that drive results. We are expanding our team on Long Island, NY, with opportunities to work in Jericho and Hauppauge. This position is suitable for entry level professionals, career changers, or experienced agents and advisors pursuing a management path in financial services.

What you will do

Work directly with individuals, business owners, and families to help secure their financial futures.
Provide solutions drawn from a broad portfolio of innovative products to meet client goals.
Collaborate with in‑house specialist advisors in areas such as Fee Based Wealth Management, Estate Planning, Business Planning, and Financial and Retirement Planning.
Join an entrepreneurial network with access to powerful sales tools and a large resource network to drive results.

Compensation and Benefits

Base compensation ranges from $60,000 to $128,000 per year.

Benefits include 401(k), 401(k) matching, dental insurance, disability insurance, employee assistance program, flexible schedule, health insurance, life insurance, professional development assistance, referral program, retirement plan, tuition reimbursement, and vision insurance.
Schedule options are flexible.

Supplemental Pay: Bonus pay and Commission pay.

Who should consider this opportunity

We provide resources, support, and one‑on‑one training to help you leverage prior experience in fields such as law, banking, sales, marketing, accounting, management, finance, real estate, mortgage, and business development. Successful candidates come from diverse backgrounds, including teachers, lawyers, business owners, engineers, and military personnel transitioning to civilian life. A strong communication ability, a solid work ethic, and a desire to succeed are essential. We welcome entrepreneurial‑minded individuals seeking a management career path in the New York area.

Education and Experience

Education: Bachelor's degree preferred.
Experience: Sales 3 years preferred; Business development 3 years preferred.

Location and Training

Work Location: Jericho, NY and Hauppauge, NY. This role is based on Long Island, NY.

Paid Training: Yes
License reimbursement, training, and ongoing education provided.
Opportunity to learn from experienced in‑house specialists across Fee Based Wealth Management, Estate Planning, Business Planning, and Financial and Retirement Planning.

How to Learn More

To learn more or apply, please contact us or visit TQEfinancial.com.

View full job page →

Financial Advisor

PV Financial Group Ludlow, MA

26d ago

$65k - $110k/yr Full time Advisor Bachelor's Degree CFP

Advisor Bachelor's Degree CFP

Apply Now

Job Description

Overview

PV Financial Group is seeking a locally based, community-minded and driven professional to join our expanding financial planning practice. The chosen candidate will focus on building enduring client relationships, converting prospects to clients, and coordinating with internal and external professionals to help clients reach their financial goals.

Key Responsibilities

Sell financial planning services in an ethical, effective manner, converting prospects into clients with a closing ratio greater than 80 percent.
Assist individuals in identifying their unique financial needs and objectives, and establish the client/advisor relationship.
Gather data, including goals, and analyze and evaluate the client’s financial status.
Develop and present financial planning recommendations and alternatives.
Implement financial planning recommendations and monitor their progress.
Review and update financial plans regularly, at least annually, to reflect changes in income and assets.
Recommend plans and products to help clients achieve goals; identify suitable investment and insurance solutions, including estate planning, tax considerations, retirement planning, and business planning objectives.
Comply with all FINRA, SEC, and Raymond James compliance regulations and meet continuing education requirements.
Provide personalized client service by working with affiliated professionals who also serve as advisors to clients.
Develop and maintain relationships with in-house professionals and strategic alliances; refer clients to strategic allies (for example, attorneys) when needed to ensure needs are met.
Respond to client questions and concerns promptly.
Schedule and plan client meetings using the CRM system.
Rebalance client portfolios based on the advisor’s criteria using appropriate tools such as Model Management.
Maintain client cost basis information.
Stay current on industry developments, service and product enhancements, regulatory issues, and client needs or wants.
Create comprehensive financial plans, investment proposals, and retirement timelines using planning software, considering client goals, risk tolerance and financial situation.
Conduct research on investment products, insurance solutions, and estate planning strategies.
Coordinate with clients’ attorneys and CPAs to ensure financial plans align with legal and tax strategies.
Actively participate in networking, community events and firm activities.

Knowledge, Skills and Qualifications

BA or BS in business; advanced degree or designation a plus (for example MBA, CFP or CPA).
Prior enrollment in or willingness to enroll in the CFP certification program.
Insurance certifications such as ChFC, as appropriate.
FINRA Series 7, 63, and 65 or 66 securities registrations.
State Life and Health insurance licensing.
Minimum of 1 to 2 years of experience in financial services.
Excellent knowledge and communication of financial planning concepts and terminology.
Strong knowledge and communication of financial products, including mutual funds, stocks, bonds, insurance policies, and annuities.
Knowledge of estate planning issues.
Proficiency with computer programs, including MS Office Suite and financial planning software.

Licenses and Certifications

Series 7 (Preferred)
Series 63 (Preferred)
Series 65 (Preferred)
Series 66 (Preferred)
State Life and Health insurance licensing

Education and Experience

Bachelor's degree (Required)
Experience in financial services: 1 year (Required)

Employment Details

Job Type: Full-time
Location: Ludlow, MA 01056
Work Location: In person
Ability to commute: Ludlow, MA 01056 (Preferred)

Compensation and Benefits

Pay: $65,000.00 - $110,000.00 per year
Benefits: 401(k), Dental insurance, Health insurance, Paid time off, Vision insurance

View full job page →

Financial Consultant - Financial Solutions Branch- Phoenix, AZ (Schwab Peak)

Charles Schwab Phoenix, AZ

27d ago

$70k - $90k/yr Full time Advisor AZ Branch

Advisor AZ Branch

Apply Now

Job Description

Details

Location: Phoenix, AZ 85070

Position Type: Regular

Overview

At Schwab, you have the opportunity to influence your career trajectory. The environment blends innovative thinking with practical problem solving to challenge the status quo and reshape the finance industry. The Financial Solutions Branch (FSB) operates within the Specialized Teams for Advice and Relationship (STAR) in the Investor Services Branch Network. FSB delivers a scalable, dedicated relationship model aimed at serving Mass Affluent investors. As an extension of the Branch Network, FSB supports new and existing Mass Affluent clients to deepen engagement, build trust, and provide investment solutions and tools aligned with today’s markets. The team collaborates closely with local and national branches and other partners to ensure clients receive optimal benefit from Schwab. Through a mix of human and digital touchpoints, Financial Consultants in the Financial Solutions Branch drive engagement, cultivate relationships, and foster long-term client loyalty within Schwab’s mass affluent client base. You will represent clients by listening, identifying what matters most, and coordinating with internal specialists to help clients achieve their financial goals. You will offer wealth management recommendations and advisory guidance, discussing timely topics to drive meaningful outcomes. You will grow and maintain your practice by addressing client needs, supporting asset consolidation, and continuing to partner with clients as they navigate their financial journey.

Your typical day

Your day typically includes client outreach, planning and advisory discussions, virtual client presentations, conversations about market trends, collaboration with business partners, sharing best practices within your branch, and additional client engagement driven by digital enhancements to the Schwab platform.

Key responsibilities when meeting with clients

Be curious and consultative: learn as much as possible about clients, view situations from their perspective, and review and recommend suitable solutions to help them stay on track with financial goals.
Be a trusted advisor: build strong relationships, foster trust, and deepen engagement by executing a focused client communication strategy and aiming to exceed expectations.
Follow a defined process: demonstrate the ability to leverage technology and deliver appropriate advice and solutions through a repeatable sales process that addresses client needs.
Leverage your team and influence: utilize Schwab specialists, adhere to Schwab advice guidelines, apply market knowledge, and motivate action to help clients progress toward goals.
Be a challenger: educate clients by sharing market insights, sound investing principles, and suitable long-term wealth strategies tailored to their situation.

What you have

Required skills include:

Active FINRA Series 7 license
Series 66 (63/65) license
Life and Health Insurance license (license(s) may be obtained under a 120 day condition of employment)

Preferred qualifications:

Minimum of 5 years of financial experience
Entrepreneurial and self-starter mentality
Polished and persuasive interpersonal and verbal/written communication skills
Ability to quickly learn new technology and work with various data and systems
Willingness to engage in ongoing coaching and development to achieve positive client outcomes and career goals
Strong time management and productivity, with the ability to balance competing priorities
Learning mindset to understand Schwab products and services
Extensive Schwab network to effectively address client concerns

What’s in it for you

At Schwab, you are empowered to shape your future. The company supports your growth through meaningful work, continuous learning, and a culture of trust and collaboration, enabling you to build the skills that create a lasting impact.

We offer a competitive benefits package designed to support you today and tomorrow:

401(k) with company match and Employee Stock Purchase Plan
Paid time off for vacation, volunteering, and a 28-day sabbatical after every five years of service for eligible positions
Paid parental leave and family-building benefits
Tuition reimbursement
Health, dental, and vision insurance

View full job page →

Associate Financial Advisor

Ameriprise Financial - Washington Edmonds, WA

28d ago

$65k - $80k/yr Full time Advisor Ameriprise Associate

Advisor Ameriprise Associate

Apply Now

Job Description

Overview

Join Soundview Financial Group, a Private Wealth Advisory Practice of Ameriprise Financial, in Edmonds and/or Wenatchee, Washington. We are seeking an Associate Financial Advisor to support succession planning for retiring advisors while contributing to the ongoing growth and continuity of the practice. This role is designed to progressively take on client relationships, with a focus on lower-decile households, and position you for long-term advancement within the firm.

About the Practice

We are an ensemble wealth management practice dedicated to comprehensive financial planning, strong client relationships, and continuity of service across generations. Our emphasis is long-term stability for clients and team members alike. We serve a loyal client base that spans urban and rural households who value in-person engagement, trust, and consistent advisory relationships.

Key Responsibilities

Client Relationship Transition & Continuity: Support succession planning for retiring advisors; gradually assume responsibility for designated client households; maintain high-touch service standards to ensure client retention and satisfaction.
Financial Planning & Implementation: Deliver comprehensive financial planning and investment strategies; conduct client meetings and provide ongoing portfolio guidance; translate complex financial concepts into practical, client-friendly solutions.
Practice Growth & Development: Identify opportunities to deepen existing client relationships; contribute to revenue growth within the team structure; support the long-term expansion and sustainability of the practice.
Team Collaboration: Partner closely with senior advisors and operational staff; maintain documentation, compliance standards, and CRM accuracy.

Ideal Candidate Profile

Required Qualifications: Active securities and insurance licenses (Series 7 & 66, WA state insurance); experience in financial services or wealth management; willingness to maintain in-office presence in Edmonds or Wenatchee due to client needs.
Preferred Experience: Experience working with rural client communities; Ameriprise experience.
Professional Strengths: Strong interpersonal and relationship-building skills; comfortable serving clients in person and building long-term trust; organized, proactive, and growth-oriented; collaborative mindset within an ensemble practice model.
Career Mindset: Seeking a long-term advisory role within a team practice and interested in future equity paths; motivated by continuity, client stewardship, and sustainable growth; interested in future leadership and expanded responsibility.

Work Environment

Potential placement in Edmonds and/or Wenatchee; in-office presence required in either location; flexibility may be discussed based on location.
Team-oriented ensemble practice with locations in multiple states.
Long-term succession planning opportunities.

Compensation & Benefits

Base Salary: $65,000 - $80,000 - exempt
Incentive Compensation: 10% - 20% based on production and responsibilities
Benefits Include: Health Insurance (100% employer paid for employee); optional vision and dental (employee paid)
Safe harbor 401(k) plan with 6% match
Group life insurance
Paid Time Off – vacation policy, sick leave, holidays
Paid CE and professional designation education

Schedule

Monday–Friday, standard business hours

Location

Edmonds, WA, with potential placement in Edmonds or Wenatchee, Washington. In-office presence required.

How to Apply

If you are a licensed financial professional seeking a long-term advisory opportunity with succession visibility and growth potential, please submit your résumé and a cover letter outlining your experience and interest.

Equal Opportunity Employer

Soundview Financial Group welcomes applicants from all backgrounds and is committed to building a diverse and inclusive workplace.

View full job page →

Director, Research and Portfolio Strategy

Vicus Capital State College, PA

30d ago

$115k - $150k/yr Full time Alternatives Asset Allocation Bloomberg

Alternatives Asset Allocation Bloomberg

Apply Now

Job Description

Location and work arrangement

The position is based at our headquarters in State College, Pennsylvania 16801. Relocation assistance is not provided, and remote work is not available for this role.

Who we are looking for

We seek a candidate with a genuine passion for investing and a commitment to managing money for clients rather than relying on models alone. This role will join our investment committee, so prior experience in investment allocation decisions is essential, preferably within an RIA environment. Candidates should be able to cite examples of overweighting and underweighting asset classes such as growth versus value, large cap versus small cap, international versus domestic equity, and equity versus fixed income. Investment ideas are generated both independently and collaboratively, with a culture that encourages challenging and defending investment theses.

What you are seeking

As a focused analyst with a talent for asset allocation decisions, you aim to have a larger voice in portfolio management and influence across multiple investment strategies. You want to participate actively in portfolio construction discussions and contribute as part of a small, focused team dedicated to helping individual clients achieve their financial futures.

Position summary

The Director, Research and Portfolio Strategy will lead the investment research efforts of our Investment Strategy team and will report to the CEO. This team collaborates with the Chief Market Strategist to conduct thorough due diligence on mutual funds, ETFs, Private Alts, SMAs, and other investment vehicles used across client accounts, along with generating detailed fundamental research to inform asset allocation across a broad range of strategies. As a member of the Investment Committee, this individual should possess a strong passion for investing and markets, with a keen interest in research, portfolio allocation and construction, and manager/strategist due diligence. The ability to clearly communicate complex investment concepts to varied audiences is essential.

Principal duties and responsibilities

Conduct allocation research for dynamic and strategic portfolio positioning across asset classes, segments, and sectors
Perform investment research and due diligence on mutual funds, ETFs, Private Alts, SMAs, and related vehicles
Write commentaries and present investment theses
Serve as a member of the Investment Committee
Manage a team of analysts
Collaborate with senior management and fellow Investment Strategy team members to deliver top-tier service to advisors nationwide
Act as a liaison and product expert for clients (financial advisors)
Communicate investment ideas and concepts at varying levels of sophistication
Lead and participate in investment and operational projects as needed

Required skills and qualifications

Bachelor’s degree
Series 65 registration (or successful completion within 90 days of hire)
7+ years of experience in an investment analyst role
Experience performing manager due diligence
Exposure to multi-asset class allocation decision making
Preferably within an RIA
Must have a relevant industry designation (CFA, CMT, CIPM, FRM, etc.)
Experience leading a team and developing analysts
Ability to write commentaries and present investment themes in written format
Strong proficiency with Microsoft Excel
Organizational skills and a track record of meeting deadlines
Demonstrated ownership of tasks and projects
Exceptional attention to detail, accuracy, and follow-through
High degree of professionalism and work ethic
Strong listening and communication skills
Can-do attitude and high energy

Preferred skills and qualifications

10+ years of experience
Experience working with financial advisors or RIAs
Knowledge of some or all of the following is a plus: Bloomberg, Morningstar DAS, Morningstar Direct, Fidelity WealthScape, Schwab Advisor Center, FactSet, Black Diamond

About Vicus Capital

Vicus Capital is an independent investment management firm with over $3 billion in AUM headquartered in State College, Pennsylvania. As a Registered Investment Advisor (RIA), we design innovative investment strategies and advanced tools for financial advisors nationwide, delivering elite service and a standout experience for advisors and their clients. We value a family atmosphere and a fulfilling work environment. Our employees are trusted to take ownership of their work, and micro-management is not part of our culture. Ongoing opportunities for growth and advancement are encouraged.

Benefits and compensation

This is a full-time salaried position with an incentive compensation package. A comprehensive benefits package includes Health Insurance, Dental and Vision Insurance, Group Life Insurance, Short Term Disability Insurance, and a 401(k) with safe harbor employer contributions.

Salary/Compensation: $115,000 - $150,000 per year

View full job page →

Wealth Advisor, Schwab Wealth Advisory

Charles Schwab Atlanta, GA

1mo ago

$100k - $140k/yr Full time Advisor Advisory CFA

Advisor Advisory CFA

Apply Now

Job Description

Your opportunity

At Schwab, you have the chance to make a meaningful impact on clients and the finance industry by embracing innovative thinking and proactive problem solving. As a Wealth Advisor within Schwab Wealth Advisory, you join a premier, fee-based, non-discretionary investment advisory solution that centers on a personal relationship, tailored service, and ongoing guidance grounded in Schwab’s investment approach. You will operate as a fiduciary on a dedicated Schwab Wealth Advisory team to deliver an exceptional client experience. SWA’s approach enables you to leverage a broad range of products including stocks, bonds, ETFs, mutual funds, separately managed accounts, and option trading to help clients manage complex portfolios and reach their goals. You’ll collaborate with an experienced, collaborative team and strengthen relationships with key partners, including leading industry advisors. If you’re looking to grow your wealth management expertise within a firm that challenges you to broaden your skills while helping clients, this could be the opportunity for you. We expect the selected candidate to work on site in the specified locations.

Position Type: Regular

Location: Atlanta, GA 30361

What you have

Bachelor’s degree
Active FINRA Series 7 license (may be obtained with a 120-day condition of employment for certified and current CFP designation or CFA designation holders, verified before hire)
Active FINRA Series 66 license (may be obtained within the first 120 days)
Three or more years of advisory experience, including creating and customizing financial plans and portfolios for clients
Five or more years in the financial services industry working directly with clients

Preferred Qualifications

CFP or CFA designation
Superior relationship management and client retention experience
Polished interpersonal, communication and presentation skills, with attention to detail

In addition to the salary range, this role is also eligible for bonus or incentive opportunities.

What’s in it for you

Schwab supports you in shaping your future through meaningful work, ongoing learning, and a culture built on trust and collaboration, enabling you to develop the skills to make a lasting impact. Our Hybrid Work and Flexibility approach balances continued client service with the value of in-person collaboration on a regular basis.

We offer a competitive benefits package that addresses today’s needs and tomorrow’s security, including:

401(k) with company match and Employee Stock Purchase Plan
Paid time off for vacation, volunteering, and a 28-day sabbatical after every five years of service for eligible positions
Paid parental leave and family building benefits
Tuition reimbursement
Health, dental, and vision insurance