Financial Advisor Associate - Medford, NY

About the role

Located in Medford, New York, the Financial Advisor Associate (FAA) works with TD Wealth prospects and clients to attract and retain clients by addressing their wealth management advisory needs.

Responsibilities

• Meet with prospects and clients to analyze financial information, including income, cash flow, assets and liabilities.
• Analyze and understand short and long term financial goals.
• Educate and advise prospects and clients regarding investment and insurance strategies and products.
• Recommend personalized/tailored investment and insurance strategies and products to meet financial and wealth creation objectives.
• Develop and maintain client relationships through ongoing consultation, advice, planning and day‑to‑day account servicing.
• Build a client base by acquiring new clients on an ongoing basis.
• Retain and grow client base through relationship management, ongoing communication, and periodic review of financial plans.
• Educate and coach Retail Store staff to identify referral prospects.
• Identify enterprise opportunities and engage key partners across the organization as needed.
• Ensure all new clients receive complete on‑boarding experience (discovery, financial needs analysis, onboarding documents).
• Implement a process for periodic ongoing contacts and Annual Client Review (ACR) meetings.
• Deepen wallet share by anticipating client needs and suggesting appropriate wealth solutions.
• Refer business to Retail, Small Business or Commercial partners when appropriate.
• Execute in compliance with regulations, policies and procedures (OCC, SEC, State Insurance Commissioners, NY DFS, etc.).
• Attain all Continuing Education requirements.
• Implement TD’s Customer Identification Program (CIP) and perform Customer Due Diligence and Enhanced Due Diligence as per AML procedures.
• Foster a positive work environment, mentor new FAAs, and represent TD Wealth professionally in the community.

Qualifications

• Bachelor's degree strongly preferred.
• 1+ years of relevant work experience in the financial services industry, relevant college degree or completion of the FAA Trainee program.
• SIE and Series 7 required.
• Required to have L&H and Series 66 (or equivalent) or the ability to obtain all within the Licensing and Registration Schedule.
• Self‑directed with strong ability to plan own activities to