Financial Advisor Associate

Stifel•Sarasota, FL

10d

About The Position

The Financial Advisor Associate (FAA) works under a Financial Advisor (FA) to provide investment services that will help clients achieve their financial goals. The FAA will assist in prospecting new clients to grow the business and should remain current on industry trends.

Requirements

Proven success in establishing rapport with clients; building and maintaining a mutually beneficial, long-term relationships.
In-depth understanding of the Financial Services industry, domestic and international markets, and applicable regulatory environment.
Thorough understanding of investment portfolios, products, and services and how to utilize them with individual clients.
Integrity to perform job functions ethically within the boundaries of the regulatory environment.
Minimum Required: Bachelor's Degree or a combination of education and experience.
Minimum Required: 5+ years' Financial Services/Brokerage experience
Minimum Required: Series 7 and Series 63 or 66.
Note: If required by state for advisory business Series 63 and 65 or Series 66.
Proficient in Microsoft 365.

Responsibilities

Engage with clients and prospects to identify their financial profile and provide clients with investment services that will align with their objectives and tolerance, and will help them achieve their financial goals.
Maintain a thorough and current understanding of client needs and goals to make suitable recommendations and implement investment strategies in the client's best interest.
Perform portfolio evaluations and monitor portfolio performance against client objectives.
Collaborate with the Financial Advisor in prospecting new clients to grow the business through networking, referrals, and participation in industry related seminars and events; domestic travel may be required.
Stay current with market trends as well as all industry rules and regulations, policies and procedures, and Firm training and continuing education.
Review and enter all types of unsolicited orders directly from clients as well as entering all types of solicited and unsolicited orders at the direction of the Financial Advisor.
Solicit orders to clients at the direction of the Financial Advisor.
Identify matters that require escalation including suspicious activity, customer complaints, trading errors, and violation of industry regulation or Firm policy.
Use independent judgement and discretion to determine the unique needs of each client.