Financial Advisor

Financial Advisor

Requirements

• Bachelor’s degree strongly preferred
• 2+ years of providing advice, planning and investment sales
• Required Licenses & Registrations: SIE, Series 7, Series 66 (or equivalent), Life and Health
• 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
• Ability to travel within assigned market to meet prospects, clients and partners five days a week
• Ability to commute within assigned territory
• Strong understanding of wealth management business development techniques
• Strong understanding and experience interacting with retail and small business banking clients
• Consultative sales experience required
• Demonstrated ability to establish relationships and partner effectively with other departments
• Proven ability to achieve sales goals

Responsibilities

• Provide financial planning guidance & sell 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 relationships
• Ensure all NEW clients receive the complete on-boarding experience
• Ability to partner and promote lead generation
• Manage goals, prioritize tasks and work in a fast paced environment
• Ensure all new & existing clients are provided with a MA Planning Experience
• 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 a 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
• Understand and adhere to TD Bank & TD Wealth Policies and Procedures
• Implement TD’s Customer Identification Program (CIP) by collecting and verifying required customer identification information
• Uncover client’s asset and transition higher threshold clients to appropriate HNW Wealth partners as needed
• Foster and contribute 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
• Be involved in the community and support TDBG charity and community initiatives

Preferred Qualifications

No preferred qualifications provided.