Financial Advisor

Financial Advisor

Requirements

• 4-year degree required or equivalent work experience
• 2+ years of selling investments & providing financial planning with a track record of success
• In-depth knowledge of investment products and services
• Required Registrations: SIE, Series 7 and Series 65/66 required – if the TFA only has 65 they will be required to obtain a 63 or 66 within the Licensing & Registration Schedule
• Required Life/Health Licenses or ability to obtain within Licensing & Registration Schedule
• Advanced understanding of wealth management business development techniques, products, services and overall industry
• Proven ability to achieve sales goals
• Proficient with retail and small business banking
• Proven ability to establish relationships and partner effectively with other departments within TD Bank, America’s Most Convenient Bank
• Ability to travel within assigned Market to meet prospects, clients and partners; up to 75% of time
• Driver’s License required

Responsibilities

• Provide financial planning guidance & selling investment management solutions
• Leverage experience to service the unique and complex needs of clients in the Mass Affluent (MA) segment
• Identify needs, review financial goals and make investment recommendations aligned to clients’ goals
• Serve as the central point of contact, responsible for providing client service & developing the relationship
• Ensure all NEW clients receive the complete on-boarding experience
• Ability to partner and promote lead generation
• Manage goals, prioritize tasks and comfortable working in a fast paced environment
• Ensure all new & existing clients are provided with a MA Planning Experience
• Effectively implement a process to ensure every client receives an Annual Client Review (ACR) meeting
• Serve as the primary point of contact for TD Wealth client relationships for MA segment
• Implement and execute a differentiated service model/experience for MA clients
• Meet quarterly and annual sales goals
• Deepen wallet share by anticipating client needs and suggesting appropriate Wealth solutions
• Identify opportunities within portfolio and network to refer business to Retail and Small Business/Commercial Partners
• Execute in thorough manner that is compliant with regulations, policies and procedures
• Adhere to all federal, state, SRO regulations and Firm policies related to all business activities
• Ensure all Continuing Education requirements are attained
• Responsible for understanding and adhering to TD Bank & TD Wealth Policies and Procedures
• Responsible for implementing TD’s Customer Identification Program (CIP)
• Uncover client’s asset and transition higher threshold clients to appropriate HNW Wealth partners
• Responsible for fostering and contributing to a positive and constructive work environment
• Provide coaching, Wealth referral training & on-going feedback to Retail and Small Business staff
• Contribute individually, as a team member and as a mentor to new FAs
• Represent TD Wealth to the general public in a professional manner
• Involved in the community and support TDBG charity and community initiatives

Preferred Qualifications

No preferred qualifications provided.