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Associate Financial Advisor Jobs in Utah (NOW HIRING)

Ameriprise Financial

Client Service Associate

Midvale, UT · On-site

$13.75 - $18.75/hr

Key Responsibilities: Assist advisor(s) in servicing clients including preparing financial plans ... Associate (2-year) degree or equivalent. 3-5 years relevant experience required. Experience working ...

Ameriprise Financial

Client Service Associate

Midvale, UT · On-site

$13.75 - $18.75/hr

The Client Service Associate (CSA) is an integral part of advisor and branch support; responsible ... Key Responsibilities: • Assist advisor(s) in servicing clients including preparing financial ...

Keybank

Financial Wellness Associate

Ogden, UT · On-site

$19.23 - $28.37/hr

... advisor, and partner to the people and businesses in our Key Bank communities. FWA's split their ... Accepts and accurately processes all financial service transactions, while identifying ...

Keybank

Financial Wellness Associate

Tremonton, UT

$19.23 - $28.37/hr

... advisor, and partner to the people and businesses in our Key Bank communities. FWA's split their ... Accepts and accurately processes all financial service transactions, while identifying ...

Keybank

Financial Wellness Associate

Salt Lake City, UT · On-site

$19.23 - $28.37/hr

... advisor, and partner to the people and businesses in our Key Bank communities. FWA's split their ... Accepts and accurately processes all financial service transactions, while identifying ...

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All JobsAssociate Financial Advisor JobsAssociate Financial Advisor Jobs in Utah

Associate Financial Advisor information

See Utah salary details

$35K

$61.1K

$102.4K

How much do associate financial advisor jobs pay per year?

As of Jul 16, 2026, the average yearly pay for associate financial advisor in Utah is $61,138.00, according to ZipRecruiter salary data. Most workers in this role earn between $36,400.00 and $75,100.00 per year, depending on experience, location, and employer.

What does an Associate Financial Advisor do?

An Associate Financial Advisor supports senior financial advisors in providing investment and financial planning services to clients. Their responsibilities often include conducting research, preparing financial plans, assisting with client meetings, and managing client accounts. They may also help with administrative tasks and ensure compliance with financial regulations. This role is typically an entry-level position designed to help individuals gain experience and work toward becoming a full-fledged financial advisor.

What are the key skills and qualifications needed to thrive as an Associate Financial Advisor, and why are they important?

To thrive as an Associate Financial Advisor, you need a solid understanding of finance, investment strategies, and regulatory requirements, typically supported by a relevant degree and FINRA licenses such as Series 7 and 66. Familiarity with financial planning software, client relationship management (CRM) systems, and portfolio analysis tools is essential. Strong interpersonal skills, active listening, and ethical judgment help build client trust and foster long-term relationships. These competencies are crucial for providing sound financial advice, ensuring compliance, and supporting clients in achieving their financial goals.

What is the difference between Associate Financial Advisor vs Financial Advisor?

AspectAssociate Financial AdvisorFinancial Advisor
CertificationsSeries 7, Series 66, CFP (preferred)Series 7, Series 66, CFP (required)
Work EnvironmentSupport role, assisting senior advisors, client meetingsClient-facing, responsible for managing client portfolios
ResponsibilitiesResearch, preparing reports, supporting client serviceDeveloping financial plans, advising clients, making investment decisions

The main difference is that Associate Financial Advisors typically support senior advisors and focus on research and client support, while Financial Advisors directly manage client portfolios and provide comprehensive financial planning. Both roles often require similar certifications, but the level of client interaction and responsibility varies.

What are some typical challenges an Associate Financial Advisor may face when building their client base?

As an Associate Financial Advisor, one common challenge is establishing trust with potential clients, especially when you are early in your career and may not have an extensive track record. Prospecting and networking can require persistence, as building relationships and demonstrating value takes time. Additionally, navigating compliance requirements and staying updated on financial regulations can be demanding, but these are crucial for providing sound advice. Successful advisors often overcome these challenges by seeking mentorship, leveraging firm resources, and continuously improving their communication and technical skills.
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Associate Financial Advisor jobs near you
Ultra High Net Worth Executive Financial Services Rule 10b5-1 Strategy Associate

Ultra High Net Worth Executive Financial Services Rule 10b5-1 Strategy Associate

Morgan Stanley

Sandy, UT • On-site

Full-time

Re-posted 11 days ago

Morgan Stanley rating

8.3

Company rating: 8.3 out of 10

Based on 154 frontline employees who took The Breakroom Quiz

39th of 148 rated financial services

Job description

Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries.

As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.

Department Profile:

Executive Financial Services ("EFS") supports transactions involving restricted or control stock, often-involving Rule 144 Affiliates and Corporate Insiders. These transactions include Rule 10b5-1 Trading Plans, sales under Rule 144 or pursuant to prospectus registration, margining, hedging, gifting or legend removals for restricted stock. EFS conducts due diligence with Issuer counsel prior to the transaction, negotiates and implements 10b5-1 contracts (including trade execution pursuant to the plan) and facilitates SEC filings, clearing and settlement of restricted trades. An important part of the service provided by EFS includes education and guidance to Financial Advisors ("FAs"), branch management and issuer counsel/corporate clients on SEC rules and operational considerations. Our 10b5-1 team is #1 in our industry and seeks to provide affirmative defense solutions for trading plans for top executives and affiliates.


Position Summary and Responsibilities:
As an Ultra High Net Worth (UHNW) Rule 10b5-1 Strategy Associate, this person will be responsible for the white glove adoption and trade management of 10b5-1 trading plans and enhance strategy and analysis for the UHNW Desk and broader EFS Department. The ideal candidate should have proven experience with providing a concierge type service to Issuers, clients, advisors or partners and strong data analysis and Microsoft Office skills.

General Functions Include:
- Develop and maintain a high level of knowledge in various SEC Rules: 10b5-1, Rule 144, 10b-18, Section 16, etc. and corporate equity plans: option exercises, restricted stock vests, SARS and related administration.
- Maintain EFS records on Rule 10b5-1 trading plans and file Rule 144 Forms with the SEC as required.
- Provide educational support and trade schedule advice to FA's and clients (sellers) on the best way to execute/effect a trade schedule for an individual client (seller).
- Review legal documents with an eye to manage risk and have the ability to identify and present issues (as appropriate) to Legal and EFS management.
- Work closely with Stock Plan Directors, Financial Advisors, Technology, Legal Department & Compliance and Strategic Client Management (the liaison between wealth management and MS's investment bank). Must quickly develop a full understanding of how each group interacts.
- Work with Department to help analyze how to expand the UHNW 10b5-1 Desk to additional advisors and expand beyond a 10b5-1 service. This will require coordination with Global Capital Markets, Private Wealth Management and Family Office Resources.
- Ability to lead on strategic initiatives, develop PowerPoint presentations and deliver analysis and vision to senior leaders.

Qualifications:
- Prior experience in Capital Markets, Investment Banking/Origination, Wealth Management.
- FINRA Licenses: Series 7 & 63 required. Will sponsor for Series 57 Exam.
- Strong presentation, negotiation, oral and written communication.
- High proficiency with Microsoft Excel and PowerPoint.
- Self-Motivator, ability to learn independently and work free from immediate supervision.
- Positive and professional customer service attitude.

WHAT YOU CAN EXPECT FROM MORGAN STANLEY:

At Morgan Stanley, we raise, manage and allocate capital for our clients - helping them reach their goals. We do it in a way that's differentiated - and we've done that for 90 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren't just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you'll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There's also ample opportunity to move about the business for those who show passion and grit in their work.

To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices into your browser.

Morgan Stanley is an equal opportunity employer committed to building and maintaining a workforce that is diverse in experience and background. Our recruiting efforts reflect our strong commitment to a culture of inclusion, where individuals are hired, developed, and advanced based on their skills and talents.

Our workforce reflects a broad cross-section of the global communities in which we operate, bringing a variety of backgrounds, talents, perspectives, and experiences.

For more information, please visit: https://www.morganstanley.com/people-opportunities/eeo.

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