Series 65

Series 65 Finance Jobs

38 jobs found

Financial Advisor

Kellogg Community Credit Union Battle Creek, MI

9d ago

Full time Marketing Advisor Business Development

Marketing Advisor Business Development

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Job Description

The Financial Advisor role at Kellogg Community Credit Union is an onsite position in Battle Creek, MI, focused on promoting investment services, processing securities transactions, and managing client relationships across branch offices.

Responsibilities

Process securities orders to facilitate sales activity from receipt to execution.
Qualify prospects and open new brokerage accounts for clients who do not require a personal Financial Advisor meeting.
Lead the planning and execution of seminars, campaigns, and sales literature across the offices in their market.
Design and oversee branch training and referral initiatives.
Set up brokerage accounts and assemble all required documentation to open them.
Handle cashing and booking of checks and stock certificates, ensuring compliance with legal requirements for stock certificates in brokerage accounts.
Track and close all outstanding paperwork.
Process journals between brokerage accounts.
Coordinate with the corporate office to resolve issues.
Establish and maintain mutual fund periodic investment plans and systematic withdrawal plans.
Configure money movement arrangements, including ACH or EFT transfers, to settle trades.

Requirements

A college degree or equivalent business experience is required; related experience may substitute for formal education.
Securities licenses Series 7 and 63, plus a State Insurance License.
Minimum of two years of experience in a related role.
Clean U-4 on file.
Customer relations and sales experience is required.
Actual business experience in the field.
Ability to learn the detailed requirements of the position.
Participation in all required compliance training, including Bank Secrecy Act / anti-money laundering training, along with internal and external training programs, online courses, meetings, and seminars.

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Financial Sales Representative - Career Changer (Training Provided)

Northwestern Mutual Manchester, NH

12d ago

$60k - $110k/yr Full time Advisor Business Development Career

Advisor Business Development Career

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Job Description

Responsibilities

Develop a client base by expanding relationships within your network and gaining depth in Northwestern Mutual financial products and current market trends.
Expand your knowledge beyond initial training through sponsored licensing and ongoing education, leveraging tools and illustrations to explain plan options to clients.
Influence clients toward informed decisions by presenting opportunities to safeguard and grow their financial position with expert guidance.
Own the growth and management of your book of business, refining skills and gradually building a team as you mature in your role.
Regularly review and adjust client financial plans to continue delivering tailored, optimal advice.

Requirements

Bachelor’s degree or equivalent professional experience
Entrepreneurial mindset with a drive to build and scale a client base
Proven success in sales, athletics, military, client services, or other client-facing roles
Excellent time-management and organizational skills
Commitment to ongoing learning and professional development
Legal authorization to work in the United States without sponsorship

Benefits

Compensation structure designed to support early career development
Renewable income stream as you grow your book of business
Bonus programs and expense allowances
Licensing support for insurance licenses, SIE, Series 6, Series 63, CFP®, and related credentials
Retirement package and pension plan
Medical, dental, vision, life insurance and disability income protection
Family planning resources

Compensation

Salary: $60,000.00 – $110,000.00 per year

Location

Manchester, NH (onsite)

Work Location

Hybrid remote arrangement in Manchester, NH 03101

Relocation

Relocation to Manchester, NH 03101 required prior to starting

Ability to Commute

Must be able to commute to Manchester, NH 03101

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Financial Sales Representative - Career Changer (Training Provided)

Northwestern Mutual Andover, MA

12d ago

$60k - $110k/yr Full time Advisor Business Development Career

Advisor Business Development Career

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Job Description

Northwestern Mutual is recruiting a career-changer for a Financial Sales Representative role serving clients across Northern New England. This full-time position blends client acquisition with delivering personalized financial planning, backed by industry-leading training and mentorship. The role operates onsite in Andover, Massachusetts, and provides a defined path from foundational training to building a growing advisory practice.

Responsibilities

Build a client base by expanding relationships within your network and gaining knowledge of Northwestern Mutual financial products and current market trends.
Educate yourself beyond initial training through sponsored licensing and ongoing development. Leverage assistive software, reporting tools, and illustrations to inform clients about potential plans.
Influence clients by presenting opportunities to protect and prosper, guiding them to action through expert recommendations.
Own the development and management of the business as you refine your craft and consider building a team. Regularly review and maintain client financial plans to provide optimal guidance.

Requirements

4-year degree, or equivalent professional work experience
Entrepreneurial ambitions
History of success in sales, athletics, military, client services, or client-facing roles
Excellent time-management skills
Desire for continuous learning
Legal authorization to work in the US without sponsorship

Benefits

Commission structure to support early development
Renewable income
Bonus programs and expense allowances
Support for insurance licensing, SIE, Series 6, Series 63, CFP, and more
Retirement Package and Pension Plan
Medical, Dental, Vision, Life Insurance and Disability Income Insurance
Family Planning
401(k)
Dental insurance
Flexible schedule
Health insurance
Tuition reimbursement
Vision insurance

Job Type

Full-time

Pay

USD 60,000 - 110,000 per year

Work Location

Hybrid remote in Andover, MA 01810

Why Join Northwestern Mutual

#90, Fortune 100 company (2021)
Forbes' Best Employers for Diversity (2018-2020)
Top 10 US Independent Broker-Dealers
#1 Amongst Life Insurers Most Admired Companies for Financial Soundness
Best Place to Work for LGBTQ+ Equality — Human Rights Campaign Corporate Equality Index (2015-2021)
$224 billion in retail investment client assets held or managed

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Wealth Advisor, Schwab Wealth Advisory

Charles Schwab Chicago, IL

13d ago

$110k - $154k/yr Full time 401k Advisor Advisory

401k Advisor Advisory

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Job Description

The Wealth Advisor role, based onsite in Chicago, IL, is part of Charles Schwab's Schwab Wealth Advisory (SWA). This fiduciary, non-discretionary position delivers investment guidance to clients using a broad product set and a collaborative team approach, with compensation in the range of USD 110,000 to 154,000 per year.

Responsibilities

Establish and maintain a personal client relationship, delivering specialized service and ongoing guidance aligned with Schwab's investing approach.
Operate as a fiduciary within a dedicated Schwab Wealth Advisory team to deliver an exceptional client experience.
Utilize a wide array of investment vehicles, including stocks, bonds, ETFs, mutual funds, separately managed accounts, and options trading, to manage complex portfolios and help clients pursue their goals.
Grow within an experienced, collaborative team and deepen relationships with various partners, including industry leading advisors.

Requirements

Bachelor’s degree
Active FINRA Series 7 license
CFP or CFA designation; 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

Benefits

401(k) with company match and Employee Stock Purchase Plan
Paid time 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

Position Type

Regular

Your Opportunity

Schwab supports you in making a meaningful impact on your career within an environment that blends innovative thinking with practical problem solving. The selected candidate is expected to work onsite in Chicago, IL. As a Wealth Advisor within Schwab Wealth Advisory (SWA), you will join a premier, fee‑based, non‑discretionary investment advisory solution that emphasizes a personal relationship, specialized service, and ongoing guidance built on Schwab's investing approach. You will influence clients’ financial outcomes as a fiduciary within a dedicated SWA team to deliver an outstanding client experience. SWA's advisory philosophy enables you to employ a broad range of investment options to help clients reach their goals.

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RIA Registered Investment Advisor fiduciary Standard

Zentech Consulting Tampa, FL

14d ago

$150k+/yr Full time Advisor CFP Client Relations

Advisor CFP Client Relations

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Job Description

Experienced fiduciary Investment Advisor needed in Tampa to guide near-retirees and retirees under the RIA standard.

Responsibilities

Provide fiduciary guidance aligned with RIA standards, ensuring recommendations are in the clients' best interests.
Develop comprehensive retirement-focused financial plans covering income strategies, asset allocation, and risk management.
Conduct thorough reviews of client financial situations, including assets, liabilities, tax considerations, estate structures, and retirement income needs.
Advise on retirement income strategies such as income investing, withdrawal sequencing, Social Security optimization, and tax-efficient distributions.
Build and manage diversified portfolios aimed at long-term wealth preservation and income generation.
Monitor portfolio performance and execute proactive rebalancing based on market conditions and client objectives.
Stay informed on market trends, economic conditions, and regulatory developments that may influence investment approaches.
Implement risk-managed strategies prioritizing capital preservation and sustainable income for retirees.
Collaborate with clients and external professionals such as CPAs, estate attorneys, and tax advisors for integrated planning.
Provide guidance on estate planning considerations including wills, trusts, beneficiaries, and wealth transfer strategies.
Advise on tax-efficient investing, required minimum distributions, and retirement account planning.
Foster long-term client relationships through regular reviews and proactive communication.
Educate clients on diversification, retirement income planning, tax considerations, and risk management.
Maintain meticulous records of client interactions, investment decisions, and compliance in line with RIA requirements.

Requirements

Proven experience in investment advisory, wealth management, or financial planning, preferably within an RIA or fiduciary environment.
Strong understanding of retirement income planning, asset allocation strategies, and fiduciary investment practices.
Working knowledge of securities regulations, tax planning concepts, estate planning strategies, and retirement planning frameworks.
Proficiency with financial planning and portfolio management software.
Strong analytical and quantitative skills with the ability to interpret complex financial data.
Exceptional client relationship and communication skills with a consultative advisory approach.

Benefits

Health insurance
Opportunity to join a growing fiduciary wealth management advisory team
Collaborative and client-centered work environment

Position Overview

Seeking an experienced, client-focused Investment Advisor to provide comprehensive guidance to individuals nearing retirement or already retired.
Role aligns with the Registered Investment Advisor fiduciary standard, placing client interests first while delivering disciplined investment strategies.
Partner with clients to design and manage long-term financial plans that prioritize income stability, capital preservation, tax efficiency, and sustainable withdrawal strategies.
The ideal candidate understands retirees' unique challenges, including income planning, longevity risk, healthcare costs, estate planning, and market volatility, and communicates with clarity and integrity.
Requires strong financial expertise, excellent client relationships, and a deep commitment to fiduciary responsibility, transparency, and personalized advice.

Pay

From USD 150,000 per year

Work Location

Onsite in Tampa, FL

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Financial Fiduciary Advisor - Series 65

Roberts Wealth Management Biloxi, MS

16d ago

$70k - $110k/yr Full time Marketing 65 Advisor

Marketing 65 Advisor

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Job Description

Roberts Wealth Management, a Biloxi, MS based firm, is seeking a Financial Fiduciary Advisor to join on site. This role guides clients toward their financial goals while benefiting from the support of an in-house marketing team and dedicated client liaisons, with a high-volume meeting schedule that emphasizes fiduciary service and clear, professional communication.

Responsibilities

Support clients in achieving their financial objectives.
Provide first-class service to both clients and advisors.

Requirements

Series 65 license required
Life insurance license required
Bachelor's degree in Finance, Business, or related field preferred
Proven experience in financial planning or wealth management
Strong understanding of investment products and financial markets
Excellent communication and interpersonal skills
Ability to work independently and as part of a team

Benefits

Dental insurance
Health insurance
Life insurance

Experience

Financial Planning and Sales: 5 years (Required)

Job Type

Full-time

Pay

$70,000 - $110,000 per year

Work Location

On-site in Biloxi, MS

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Financial Advisor - BMO Bank

LPL Financial Milwaukee, WI

17d ago

$80k - $120k/yr Full time Advisor Banking Banking

Advisor Banking Banking

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Job Description

These are the Financial Advisor opportunities with LPL Financial at BMO Bank in Milwaukee, WI (onsite), offering a salary range of USD 80,000 to 120,000 per year. This position is not an employee of LPL Financial.

Responsibilities

Build a robust client base through the bank's established referral network.
Grow new client relationships by leveraging the bank's existing client base.
Develop client solutions without reliance on proprietary products, tailored to individual goals.
Scale your advisory practice with LPL's tools, technology, and comprehensive support.
Benefit from LPL's experience helping financial institutions expand and optimize investment programs.
Leverage the bank's reputation and community standing to deepen client engagement.

Requirements

Active Series 7 and Series 66 licenses required; Series 63/65 equivalents are acceptable.
Insurance license required.
Three or more years of investment sales experience.

Benefits

Access to proprietary technology and a suite of customized services.
Open architecture platform with access to thousands of investment products from leading third-party sponsors.
Resources and expertise across the firm to help you create client solutions.
The freedom to create solutions specific to your client’s goals.

Disclosures

These investment products and services are being offered through LPL or its affiliates, which are separate entities from, and not affiliates of, BMO Bank.