ZipRecruiter

Log In

CNI Consulting
CNI Consulting

60 Cni Consulting Associate Financial Advisor Jobs Hiring Near You

LPL Financial

Associate Financial Advisor

Shelby, MI · Hybrid

Associate Financial Advisor - Shelby State Bank Your career path should lead to real opportunity LPL Financial offers a complete menu of financial services to bank clients. This employment ...

Baird

Associate Financial Advisor

Phoenix, AZ · On-site

Associate Financial Advisor The Associate Financial Advisor provides specialized services to an individual Financial Advisor or Financial Advisor team to assist in their ability to offer ...

Baird Capital

Associate Financial Advisor

Sarasota, FL · On-site

$59.30K - $80.20K/yr

Associate Financial Advisor The Associate Financial Advisor provides specialized services to an individual Financial Advisor or Financial Advisor team to assist in their ability to offer ...

New

Baird Capital

Associate Financial Advisor

Durango, CO

$59.30K - $80.20K/yr

Associate Financial Advisor The Associate Financial Advisor provides specialized services to an individual Financial Advisor or Financial Advisor team to assist in their ability to offer ...

New

Baird

Associate Financial Advisor

Durango, CO

$59.30K - $80.20K/yr

Associate Financial Advisor The Associate Financial Advisor provides specialized services to an individual Financial Advisor or Financial Advisor team to assist in their ability to offer ...

next page

Showing results 1-20

All JobsCni Consulting JobsCni Consulting Associate Financial Advisor Jobs

CNI Consulting Jobs Information

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 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.

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 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 other companies are hiring for Associate Financial Advisor jobs?

Associate Financial Advisor

Kestra Financial Independent Advisor

Hartford, CT • On-site

$48K/yr

Full-time

Posted 21 days ago

Job description

Peak Mountain Advisors is looking for an associate financial advisor to join our team. We are an independent wealth management firm founded in 2012. We are looking for someone to help manage daily financial planning and service the needs of existing Peak Mountain Advisors clients. In addition to base compensation, you will have a competitive grid payout for your existing relationships and new clientele. This position is perfect for a financial advisor who is eager to succeed in the independent market while learning from a high-quality advisor with 20 years of experience in the industry. This role is best suited for individuals who have developed a well-rounded understanding and implementation of advising and financial planning with over three years of experience as a financial advisor. This is a great way to join and grow with a team, transition your existing book of business, and maintain financial stability while advancing your career to focus on providing the most excellent client experience.

Requirements

· Minimum 3-5 years of experience in financial advising

· Life, Health and Accident License – State of CT

· FINRA Series 7 and FINRA 66 License

· Well organized with the ability to manage time effectively with multiple priorities

· Excellent Verbal Communication, Active Listening, Critical Thinking, Strong Ethics

· Clean record with SEC and FINRA

Skills

    • Trustworthy, sincere, charismatic and social disposition, able to start up and hold conversations with a diverse demographic of individuals
    • Demonstrate a deep understanding of financial markets, and can effectively simplify complex financial concepts while building relationships with clients
    • Some knowledge and ability to learn more about trusts, estate planning, tax planning, insurance and complex financial planning
    • Coachable and trainable to fit the culture of the company and succeed in a service-orientated business

Benefits

Annual base income $48,000 plus competitive grid payout