Position Details

Type Full-Time

Experience mid

Exp. Years 3-5 years

Education High School Diploma/Equivalent required; Bachelor's degree preferred

Category Finance & Accounting

About this role

The Associate Financial Advisor role supports an established Financial Advisor to serve clients, grow the branch, and positively impact communities. It includes completing licensing, adhering to regulatory requirements, and developing personalized investment solutions while building client relationships.

Key Responsibilities

Gather information and collect suitability to deeply understand clients' and prospective clients' needs
Meet with clients regularly to track progress and adjust strategy
Partner with other members of clients' professional team to understand goals
Research portfolio performance, cost/fees, asset allocation and propose changes
Collaborate with FA and branch team to monitor and adjust branch business plan

Technical Overview

Non-technical; emphasis on licensing, regulatory compliance, client services, and investment solutions.

Ideal Candidate

The ideal candidate is a mid-level associate financial advisor with 3+ years of securities experience, licensed to Series 7 and Series 66, with strong client relationship skills and commitment to regulatory compliance. They are prepared to complete licensing within the firm’s study period and contribute to branch growth.

Must-Have Skills

High School Diploma/Equivalent requiredSeries 7 and Series 66 requiredFINRA licenses required within three monthsState insurance licenses required

Nice-to-Have Skills

Bachelor's degree preferred3-5 years securities industry experience preferred

Required Skills

Series 7Series 66FINRA licensesState insurance licenseHigh School Diploma/EquivalentBachelor's degreeinvestment solutionsclient relationshipssuitabilityregulatory requirementslicensing programtrainingonboardingbranch operationsfinancial services

Hard Skills

Series 7Series 66FINRA licensesState insurance licenses

Soft Skills

Attention to detailTime managementOrganizational skillsRelationship buildingCritical thinkingProblem solving

Certifications

Required

FINRA Series 7FINRA Series 66State Insurance License

Industry & Role

Industry Financial Services

Job Function Support licensed financial advisory services and branch growth through client engagement and regulatory-compliant investment solutions

Role Subtype Associate Financial Advisor

Keywords for Your Resume

Associate Financial AdvisorEdward JonesFinancial AdvisorSeries 7Series 66FINRA licensesState insurance licenseHigh School Diploma/EquivalentBachelor's degree3-5 years securities industry experienceregulatory requirementssuitabilityinvestment solutionsclient relationshipslicensing during study periodtraining programbranchonboardingcompliancefinancial servicesFINRA licenseSecurities industry experienceHigh School Diploma

Deal Breakers

No Series 7 license, No Series 66 license, No FINRA or securities licenses, No State insurance license

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