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Advisor Apprentice I

Employment Type: Full-Time, Salaried

Compensation: Base Salary + Annual Profit Share Bonus (4% to 8%)

Position Summary

We are seeking a motivated and coachable Advisor Apprentice I (AA I) to begin developing the knowledge, skills, and professional habits required for a successful career as a financial advisor. As an entry-level member of the advisory team, the AA I will support client service, financial planning preparation, operational processes, and business development activities while participating in a structured training and licensing program.

This role provides hands-on exposure to financial planning, investment management, insurance solutions, client relationship management, and practice operations. The ideal candidate possesses strong organizational skills, analytical thinking, professionalism, and a commitment to learning within a highly regulated environment.

Key Responsibilities

Client Service & Meeting Preparation

• Prepare meeting materials, agendas, and supporting documentation for client and prospect meetings.
• Gather, organize, and validate client financial information to support planning and advisory activities.
• Assist with meeting follow-up activities, including documentation, task tracking, and client communications.
• Coordinate scheduling and administrative support for client meetings and reviews.
• Maintain organized and compliant client records and documentation.

Operations & Administrative Support

• Assist with account opening, maintenance, transfer, and service requests.
• Support operational workflows related to investment, insurance, and financial planning activities.
• Process supervised cash movement requests, trade-related paperwork, and account servicing tasks in accordance with firm policies.
• Assist with insurance illustrations, policy servicing requests, and related documentation.
• Partner with operations and compliance teams to ensure accuracy and regulatory adherence.

Learning & Professional Development

• Participate actively in the firm's Advisor Apprentice Academy and development programs.
• Complete required licensing, training, and educational milestones within established timelines.
• Shadow advisor meetings, client reviews, and prospect appointments to develop practical experience.
• Attend up to two client or prospect meetings per week as part of structured observational learning.
• Apply feedback from advisors, leaders, and mentors to continuously improve performance and knowledge.

Compliance & Practice Support

• Follow all firm policies, compliance standards, and regulatory requirements.
• Maintain accurate documentation and support audit-ready recordkeeping practices.
• Demonstrate professionalism and confidentiality when handling client information.
• Meet established activity, training, and development expectations.
• Support team initiatives that enhance operational efficiency and client experience.

Qualifications

Required Experience

• Bachelor's Degree required.
• FINRA Securities Industry Essentials (SIE), Series 7, and Series 63 licenses preferred, or ability to obtain within six months of hire.
• Texas Life & Health Insurance License preferred, or ability to obtain within six months of hire.
• Previous internship, financial services, customer service, or professional experience is a plus.
• Demonstrated interest in financial planning, wealth management, investments, or insurance.

Skills & Technical Knowledge

• Proficiency with Microsoft 365 applications, including Outlook, Excel, Word, and Teams.
• Strong numerical aptitude and attention to detail.
• Ability to organize, maintain, and accurately document information.
• Excellent written and verbal communication skills.
• Ability to learn complex financial, investment, insurance, and compliance concepts.
• Strong time management and organizational capabilities.
• Ability to maintain professionalism and confidentiality in a regulated environment.

Personal Attributes

• Coachable professional with a growth mindset and commitment to continuous learning.
• Thoroughly prepares for assignments and actively incorporates feedback into development.
• Client-first attitude with a professional presence and strong relationship-building skills.
• Organized and dependable with consistent follow-through and accountability.
• Analytical thinker who demonstrates accuracy and attention to detail.
• Developing ability to connect investment and insurance concepts to foundational financial planning principles.
• Disciplined in meeting activity expectations, licensing requirements, and compliance standards.
• Resilient and adaptable when managing deadlines, competing priorities, and new challenges.
• Team-oriented contributor who values collaboration, professionalism, and service excellence.

Compensation & Benefits

• Competitive base salary commensurate with experience and qualifications.
• Annual Profit Share Bonus opportunity ranging from 4% to 8%.
• Comprehensive benefits package in accordance with company policies.