Financial Advisor (Multiple Levels) - Glastonbury, Connecticut

TD • Glastonbury, CT

1d • $72,280 - $108,160 • Onsite

About The Position

The Financial Advisor role is a three-year program with a forgivable draw. The advisor provides financial planning guidance and sells investment management solutions, using their experience to serve the unique and complex needs of TD Wealth clients. The role reviews clients’ financial goals and makes investment recommendations aligned with those goals. As the central point of contact for client relationships, the advisor provides service and develops relationships to help clients achieve asset accumulation, preservation, growth, and protection goals while growing the business relationship.

The advisor delivers a complete onboarding and planning experience, including client discovery, financial needs analysis, required documentation, introductions to centralized servicing as needed, and ongoing annual client reviews. The role builds and deepens client relationships, meets sales goals, refers clients to appropriate Retail, Small Business, Commercial, and Wealth partners, and provides a differentiated service experience. It also supports team development through coaching, referral training, mentoring, and collaboration, while adhering to applicable regulations, policies, customer identification procedures, and continuing education requirements.

The position is based in Glastonbury, Connecticut, with 40 hours listed. It requires travel within the assigned market to meet prospects, clients, and partners five days a week. The final job level and title will be determined based on the selected candidate’s qualifications, experience, and demonstrated capabilities. The role is with a FINRA member broker and/or dealer and is subject to FINRA and securities-law requirements, including eligibility and background-check requirements.

Requirements

• At least 2 years of experience providing advice, planning, and investment sales.
• SIE, Series 7, and Series 63 licenses are required.
• Life and Health license and Series 66 (or equivalent), or the ability to obtain all within the Licensing and Registration Schedule.
• Self-directed, with a strong 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 and commute within the assigned market or territory to meet prospects, clients, and partners five days a week.
• 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 satisfy applicable investigation and verification requirements.
• Satisfactory criminal background check, credit report check, civil litigation search, regulatory agency or self-regulatory organization enforcement action search, and required applicant statements or certifications.
• Ability to meet the role’s physical requirements, including continuous sedentary work, sitting, operating standard office equipment, performing multiple tasks, concentrating for long periods, and reading, writing, and comprehending instructions.

Nice To Haves

• Bachelor’s degree strongly preferred.

Responsibilities

• Review clients’ financial goals and make investment recommendations aligned with those goals.
• Provide financial planning guidance and sell investment management solutions.
• Serve as the primary point of contact for TD Wealth client relationships and manage all aspects of clients’ relationships with TD Bank.
• Deliver complete onboarding for new clients, including client discovery, financial needs analysis, goals-based advice, appropriate introductions to centralized servicing, and required documentation.
• Ensure new and existing clients receive a planning experience and an Annual Client Review with an enhanced agenda focused on overall wealth needs, along with proactive client contacts.
• Implement a differentiated service model for TD Wealth clients and deliver high-quality service at every interaction.
• Meet quarterly and annual sales goals, deepen wallet share, anticipate client needs, and recommend appropriate Wealth solutions while maintaining an exceptional client experience.
• Generate and pursue leads, identify opportunities in the client portfolio and network, and refer business to Retail, Small Business, Commercial, and Wealth partners or affiliates as appropriate.
• Uncover client assets and transition higher-threshold clients to appropriate high-net-worth Wealth partners as needed.
• Execute business activities in compliance with applicable federal and state regulations, self-regulatory organization requirements, firm policies, and procedures.
• Implement TD’s Customer Identification Program by collecting and verifying required customer identification information and completing applicable due diligence requirements.
• Complete required continuing education and adhere to TD Bank and TD Wealth policies and procedures.
• Foster a positive, constructive work environment and contribute to the overall Wealth team.
• Provide coaching, Wealth referral training, and ongoing feedback to Retail and Small Business staff.
• Contribute as an individual, team member, and mentor to support performance, collaboration, and enthusiasm, including mentoring new Financial Advisors.
• Represent TD Wealth professionally to the public and support community and TDBG charitable initiatives.
• Support the Bank’s customer service strategy, contribute to improvements in the partner and customer experience, and consider the impact of decisions on TD, customers, and stakeholders.
• Participate as a team member, share information and knowledge, communicate project status and issues, and may provide leadership, training, and guidance to team members.
• Travel within the assigned market to meet prospects, clients, and partners.

Benefits

• Base salary and variable compensation or incentive awards, including potential cash and/or equity incentive awards through an incentive plan.
• 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, training, mentoring programs, and access to an online learning platform.
• Reward and recognition.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: No Education Listed