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Stifel Financial Advisor Associate Jobs in Washington

Raymondjames

Associate Advisor

Arlington, VA · On-site

$90K - $120K/yr

The ideal candidate has worked as a Financial Advisor or alongside Financial Advisors in a client ... At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver ...

NFP Corp

Associate, Advisor

Reston, VA · On-site

Wealthspire is redefining the future of financial solutions through collaboration, scale, and a ... Our Advisor Associates works directly with Advisors to assist with the wealth management and ...

NFP Corp

Associate, Advisor

Reston, VA · On-site

Wealthspire is redefining the future of financial solutions through collaboration, scale, and a ... Our Advisor Associates works directly with Advisors to assist with the wealth management and ...

NFP Corp

Associate, Advisor

Reston, VA

Wealthspire is redefining the future of financial solutions through collaboration, scale, and a ... Our Advisor Associates works directly with Advisors to assist with the wealth management and ...

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Stifel Financial Advisor Associate information

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

AspectStifel Financial Advisor AssociateFinancial Advisor
CredentialsSeries 7, 66/63, and other licenses; relevant educationSeries 7, 66/63, and often CFP or other certifications
Work EnvironmentSupportive team within a brokerage firm, client-facingClient-focused, providing personalized financial planning and investment advice
Employer & Industry UsageUsed within brokerage firms like Stifel, financial services industryUsed across banks, independent firms, and wealth management companies

The Stifel Financial Advisor Associate typically supports senior advisors, gaining experience and licensing credentials, while a Financial Advisor directly manages client portfolios and provides comprehensive financial planning. Both roles require similar licenses and work in client-facing environments, but their responsibilities and career progression differ.

What are the key skills and qualifications needed to thrive as a Stifel Financial Advisor Associate?

To thrive as a Stifel Financial Advisor Associate, you need a solid understanding of financial markets, investment products, and client relationship management, often supported by a bachelor's degree in finance or a related field and Series 7 and 66 licenses. Familiarity with financial planning software, CRM systems, portfolio analysis tools, and compliance platforms is typically required. Strong interpersonal skills, attention to detail, and effective communication help build trust with clients and support team collaboration. These skills and qualifications are essential for providing sound financial advice, achieving business development goals, and ensuring regulatory compliance.

What is a Stifel Financial Advisor Associate?

Stifel Financial Advisor Associates are entry-level professionals who support senior financial advisors in delivering investment and wealth management services to clients. They assist with client account management, research investment opportunities, prepare financial plans, and help ensure clients' needs are met. The role is often a stepping stone to becoming a full-fledged financial advisor, offering hands-on experience and training in the financial services industry. Associates at Stifel benefit from the firm's comprehensive development programs and have opportunities for career advancement within the company.

What are some common challenges faced by Stifel Financial Advisor Associates during their first year, and how can they overcome them?

Stifel Financial Advisor Associates often face the challenge of building a client base and establishing trust with new clients during their first year. Navigating compliance requirements and staying updated on financial regulations can also be demanding. Proactively seeking mentorship from experienced advisors, participating in Stifel’s training programs, and leveraging available resources can help overcome these hurdles. Collaborating closely with team members and maintaining strong communication with clients are key strategies for success in this role.
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Stifel Financial Advisor Associate jobs near you

Associate Financial Advisor

LPL Financial

Rockville, MD • On-site

Full-time

Medical, Retirement, PTO

Posted 24 days ago

LPL Financial rating

7.5

Company rating: 7.5 out of 10

Based on 70 frontline employees who took The Breakroom Quiz

114th of 150 rated financial services

Job description

Where Ambition Meets Innovation
Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you'll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals.
Job Overview:
The Associate Financial Advisor will support senior financial advisors in providing comprehensive financial planning and investment management services to clients, contributing to the growth and retention of the practice.
Responsibilities:
  • Assist senior financial advisors in developing and implementing and delivering financial plans and investment strategies to clients.
  • Meet with prospective clients in to understand their financial goals and assess needs in an effort to establish rapport.
  • Conduct regular performance reviews of client portfolios, discussing performance, rebalancing needs, and market conditions.
  • Maintain accurate and up-to-date client records within the CRM system.
  • Respond to client inquiries and provide exceptional service, escalating complex issues to senior advisors when necessary.
  • Stay informed on market trends, financial products, and industry regulations.
  • Collaborate with internal teams to ensure seamless client service delivery.
  • Assist in business development activities, including prospecting, marketing, and client seminar preparation.
  • Participate in client educational events, workshops and client appreciation events.
  • Take active lead of marketing efforts by partnering with LPL marketing team.

What are we looking for?
We're looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.
Requirements:
  • FINRA Series 7 and Series 66 (or Series 63 and 65) licenses.
  • 5+ years of experience in the financial services industry, preferably in a client-facing or support role.
  • Bachelor's degree.

Core Competencies:
  • Strong understanding of financial planning principles, investment products, and retirement solutions.
  • Excellent communication (written and verbal) and interpersonal skills.
  • Highly organized with strong attention to detail and ability to manage multiple priorities.
  • Proficiency in Microsoft Office Suite (Word, Excel, PowerPoint) and CRM software.
  • Demonstrated ability to work independently and collaboratively in a fast-paced environment.
  • Client-centric mindset with a commitment to delivering outstanding service.

Preferences:
  • Life, Accident & Health insurance licenses preferred.
  • CFP preferred but not required.

Pay Range:
82,200.00 - 137,000.00
The pay salary range is inclusive of base salary and potential sales incentive compensation based upon the applicable incentive compensation plan for this position. Base salary is determined on several factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Incentive compensation is dependent on achievement of goals set forth in the incentive compensation plan. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play - such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!
Company Overview:
LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace(6) , LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses. For further information about LPL, please visit www.lpl.com.
At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.
For further information about LPL, please visit www.lpl.com.
Join the LPL team and help us make a difference by turning life's aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.
Information on Interviews:
LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant's bank or credit card. Should you have any questions regarding the application process, please contact LPL's Human Resources Solutions Center at (855) 575-6947.
EAC 5.19.26

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