Financial Advisor

Position Summary

The Financial Advisor will oversee investment strategies for a diverse client base, providing a comprehensive financial planning approach.

Role Description

The Financial Advisor is an experienced member of the Moors & Cabot team committed to delivering high-quality service to clients. This role collaborates with the branch and firm to support success.

Role Responsibilities

• Develop and implement financial planning solutions for clients
• Perform complex research and financial analysis related to solutions
• Build, maintain, and update client databases and financial plans
• Research investment products and market trends
• Utilize MoneyGuidePro for analyzing, drafting, and implementing financial plans
• Provide strategic advice and manage money to reflect client risk tolerance
• Monitor clients' financial situations with detail and accuracy
• Maintain and cultivate client relationships via approved mediums
• Create and prepare detailed portfolio reviews, security analyses, and client delivery presentations
• Document and execute money moves
• Cultivate relationships with wholesalers
• Utilize marketing and business plans to increase book of business
• Plan networking opportunities to foster client opportunities
• Maintain working relationships with other business functions to ensure seamless practices and troubleshoot problems
• Set performance expectations and goals for assigned Client Associates in conjunction with the Branch Manager
• Provide feedback and mentorship to assigned Client Associates on a regular basis
• Adhere to and keep up to date on Compliance and firm policies
• Ensure and maintain good standing with all FINRA/SEC rules and regulations including licensure and continuing education requirements
• Stay updated with the latest tax regulations and industry trends
• Actively contribute to a positive team morale

Key Measurements

• Ability to meet annual production/revenue goals
• Maintenance and growth of client relationships and book of business
• Adherence to and limiting compliance risk and liability
• Overall success and satisfaction of team

Minimum Requirements

• 7+ years of relevant experience within Financial Services
• Portable book of business
• FINRA SIE, Series 7 and 66 (63/65)
• Bachelor’s Degree or higher in Business, Finance, or related field
• A passion for financial markets
• Strong understanding of financial planning, portfolio management, and fiduciary investing concepts
• Prior experience with Financial Planning software
• Confidence in using Microsoft Office Suite and Google Suite applications
• Comfortable taking initiative and being part of a team environment
• Ability to sit for long periods of time and lift up to 10 pounds

Preferred Requirements

• Experience with RBC, AOS, Nexus Trading, RedTail, RedOak, Wealthbox, Addepar, RightCapital, RiskAlyze, and MoneyGuidePro

About Us

Since 1890, Moors & Cabot has defined the meaning of financial services, specializing in wealth management through full-service registered representatives and offering additional investment tools such as cash management accounts, retirement planning, mutual funds, annuities, and insurance products.

Benefits

• Total Rewards Benefits Package: Medical, Dental & Vision
• Short Term Disability & Long Term Disability, Employer-paid Life Insurance, and optional Supplemental Life insurance for employee, spouse, and dependents
• 401(k) plans
• Flexible Spending Accounts
• Critical Illness & Accident insurance
• Employee Discount Programs
• Employee Assistance Programs
• Identity Theft Protection Insurance
• PTO: Unlimited
• Flexible Work Schedule