REGISTERED FINANCIAL ADVISORS (3)

REGISTERED FINANCIAL REPRESENTATIVES / FINANCIAL ADVISORS – Tri-State Area (NY/NJ)

Applicants must hold active FINRA licenses (SIE, Series 7, and Series 66 or 63/65).

NJ, NYC, AREAS

We are looking for registered financial representatives with a book of business who want to come to a firm who can offer very warm leads on a consistent basis. The higher the production the better, but we would take someone with 3 years experience and a book of over $200,000. For someone we really like and with a larger book we would consider a recruiting bonus in the form of a forgivable loan, and again, we could help them grow their book through leads from our tax clients.


We have an attractive benefits package and our ability to help grow a reps business through consistent warm leads is something that separates us from other firms.:

  DOE (Depending on Experience) — LUCRATIVE PACKAGES TO BE DISCUSSED DIRECTLY WITH THE EMPLOYER. Book of business brings top $$, financial support, compensation etc. Our client, a nationally recognized private wealth and investment management firm, is expanding nationwide and seeking experienced Registered Financial Representatives / Financial Advisors to join its growing team.

This leading organization provides comprehensive, collaborative financial solutions to individuals and families, businesses and institutions, non-profits, trusts, foundations, and endowments. Services include fee-based asset management and advisory, as well as securities and insurance products, including fixed annuities (excluding variable products).

This is an exceptional opportunity to join a prestigious national brand with a solid client base, excellent compensation, and strong growth potential within a supportive, team-oriented environment.

What sets this firm apart is its ability to help advisors grow their business through consistent warm leads generated from its extensive tax client base , providing a unique platform for sustainable success. The company also offers an attractive benefits package , competitive compensation , and—depending on experience and book size—a potential recruiting bonus in the form of a forgivable loan .

Qualifications

• Bachelor’s degree in Finance or equivalent combination of education and experience (highly preferred).
• Active registration: SIE, Series 7, and Series 66 (or Series 63/65).
• Minimum of three years of related brokerage or financial advisory experience.
• Existing book of business of at least $200,000 or more, with demonstrated production and client growth.
• Proven track record of client development, relationship management, and revenue generation.
• Proficient in MS Word, Excel, and PowerPoint.
• Strong attention to detail, organizational ability, and multi-tasking skills.
• Excellent verbal and written communication skills.

Key Responsibilities

• Develop and maintain long-term client relationships through personalized financial planning and investment advisory services.
• Manage and grow an existing book of business while developing new opportunities from firm-provided warm leads.
• Provide tailored investment advice aligned with each client’s goals and financial profile.
• Stay current on market trends, product knowledge, and compliance regulations.
• Collaborate with tax and wealth management divisions to deliver comprehensive financial solutions.
• Ensure adherence to FINRA and firm compliance policies.
• Maintain accurate client documentation and reporting.