Financial Advisor

Position Summary

The Financial Advisor will oversee investment strategies for a diverse client base, providing tailored financial planning solutions and a holistic approach to financial planning.

Role Description

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

Role Responsibilities

• Develop and implement financial planning solutions for clients and perform complex research and financial analysis
• Build, maintain, and update client databases and financial plans
• Perform research for client portfolios using various software tools
• Stay current and informed by researching investment products and market trends
• Utilize MoneyGuidePro in analyzing, drafting, and implementing financial plans based on client needs
• Provide strategic advice and manage money to reflect client risk tolerance, income, expenses, and assets
• Continuously monitor clients’ financial situations with detail and accuracy by monitoring portfolio transactions and addressing client portfolio inquiries
• Maintain and cultivate client relationships via approved mediums of communication
• Create and prepare detailed portfolio reviews, security analysis, and client delivery presentations for meetings
• Document and execute money moves - trades, deposits, ACH, wires, withdrawals, rollovers, etc.
• Cultivate relationships with wholesalers
• Utilize marketing and established business plans to increase book of business
• Plan networking opportunities to foster client opportunities
• Maintain working relationships with other business functions to ensure seamless business practices and troubleshoot problems when they arise
• Set performance expectations and goals for assigned Client Associate(s) in conjunction with the Branch Manager
• Provide feedback and mentorship to assigned Client Associate(s) 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
• Keep up-to-date with the latest tax regulations and industry trends
• Be an active culture carrier and 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, as applicable

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
• Confident 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 its founding in 1890, Moors & Cabot and its people have defined the meaning of financial services. The firm specializes in wealth management through full-service registered representatives and offers additional investment tools such as cash management accounts, retirement planning, mutual funds, annuities, and other 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
• 401k plans
• Flexible Spending Accounts
• Critical Illness & Accident insurance
• Employee Discount Programs
• Employee Assistance Programs
• Identity Theft Protection Insurance
• PTO: Unlimited
• Flexible Work Schedule