Financial Advisor (Multiple Levels) - Auburn, Maine

TD • Auburn, ME

10d • $72,280 - $108,160 • Onsite

About The Position

TD Wealth is hiring financial advisors or planners to provide financial planning guidance and sell investment management solutions. The advisor serves as the primary point of contact for clients, reviews their financial goals, and recommends investments and Wealth solutions aligned with those goals. The role supports clients’ asset accumulation, preservation, growth, and protection, while developing relationships and deepening clients’ engagement with TD Wealth.

The advisor provides a complete onboarding and planning experience to new clients, conducts annual client reviews and proactive outreach, and delivers a differentiated service model. The role includes meeting sales goals, identifying referrals and business opportunities, partnering with Retail and Small Business/Commercial colleagues, and following applicable regulations and TD policies. The advisor also contributes to the Wealth team through collaboration, mentoring, coaching, and referral training. The final job level and title will depend on the selected candidate’s qualifications and capabilities.

Requirements

• At least 2 years of experience providing advice, financial planning, and investment sales.
• SIE, Series 7, and Series 63 licenses are required.
• Life and Health license and Series 66 (or equivalent), or ability to obtain all required licenses within the Licensing and Registration Schedule.
• Self-directed, with the ability to plan activities to achieve sales and referral goals.
• Advanced understanding of wealth products and services.
• Strong verbal and written communication skills.
• Strong organizational and time-management skills.
• Ability to travel within the assigned market to meet prospects, clients, and partners five days a week, and commute within the assigned territory.
• Strong understanding of wealth management business development techniques.
• Strong understanding of and experience interacting with retail and small business banking clients.
• Consultative sales experience.
• Demonstrated ability to establish relationships and partner effectively with other departments.
• Proven ability to achieve sales goals.
• Must be eligible for employment under FINRA standards and meet applicable investigation and verification requirements.
• Satisfactory criminal background, credit report, civil litigation, and regulatory or self-regulatory enforcement-action checks are required.
• Bachelor’s degree is strongly preferred.

Nice To Haves

• Bachelor’s degree.

Responsibilities

• Provide financial planning guidance and sell investment management solutions to TD Wealth clients.
• Review clients’ financial goals and make investment recommendations aligned with those goals.
• Serve as the primary point of contact for client relationships and manage clients’ relationships with TD Bank, referring them to Retail and Wealth partners and affiliates as appropriate.
• Complete new-client onboarding, including client discovery, financial needs analysis, introductions to centralized servicing as needed, and required documentation.
• Ensure new and existing clients receive a planning experience, including an Annual Client Review meeting and proactive contacts.
• Implement a differentiated service model for TD Wealth clients and deliver high-quality customer service.
• Meet quarterly and annual sales goals, deepen wallet share, and recommend appropriate Wealth solutions while maximizing profitability and client experience.
• Identify opportunities to refer business to Retail and Small Business/Commercial partners, and partner to promote lead generation.
• Execute business activities in compliance with applicable regulations, policies, and procedures, including customer identification and due diligence requirements.
• Complete continuing education requirements and adhere to TD Bank and TD Wealth policies and procedures.
• Identify clients’ assets and transition higher-threshold clients to appropriate high-net-worth Wealth partners as needed.
• Contribute to a positive and constructive Wealth team environment; collaborate, mentor new financial advisors, and support team performance.
• Provide coaching, Wealth referral training, and ongoing feedback to Retail and Small Business staff.
• Represent TD Wealth professionally to the public and participate in community and TD charity initiatives.
• Support the Bank’s customer service strategy and contribute to improving partner and customer experiences.
• Communicate project and issue progress to the team, share knowledge, and learn from colleagues.

Benefits

• Health and well-being benefits
• Savings and retirement programs
• Paid time off, including Vacation PTO, Flex PTO, and Holiday PTO
• Banking benefits and discounts
• Career development
• Reward and recognition programs
• Variable compensation or incentive awards, potentially including cash and/or equity awards
• Training and onboarding
• Access to an online learning platform and mentoring programs

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level