Financial Advisor (Multiple Levels) - Aston, PA

TD Bank • Aston, PA

5d • Onsite

About The Position

The Financial Advisor role is a three-year program with a forgivable draw for financial advisors or planners who provide financial planning guidance and sell investment management solutions. The advisor serves as a central point of contact for TD Wealth clients, reviewing financial goals and making investment recommendations aligned with those goals. The role develops client relationships and helps clients address asset accumulation, preservation, growth, and protection needs.

The Financial Advisor provides a comprehensive planning and service experience to new and existing clients, manages relationships across TD Bank, and coordinates referrals to Retail, Wealth, and other partners as appropriate. The advisor is accountable for quarterly and annual sales goals, growing client relationships and wallet share, and ensuring client service and business activities comply with applicable regulations and company policies.

The role also contributes to the broader Wealth team by supporting colleagues, providing coaching and referral training, mentoring new Financial Advisors, and participating in community initiatives. The job requires travel within the assigned market to meet prospects, clients, and partners five days a week. The final title and level will depend on the selected candidate’s qualifications, experience, and demonstrated capabilities.

Requirements

• At least 2 years of experience providing advice, financial planning, and investment sales.
• SIE, Series 7, and Series 63 licenses 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 and commute within the assigned territory.
• Strong understanding of wealth management business development techniques.
• 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, including required background, credit, civil litigation, and regulatory checks.
• Must meet applicable FINRA, securities-law, regulatory, firm-policy, and continuing-education requirements.

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 those relationships with TD Bank.
• Complete new-client onboarding, including discovery, financial needs analysis, goals-based advice, introductions to centralized client servicing as needed, and required documentation.
• Ensure new and existing clients receive a planning experience and conduct Annual Client Review meetings with an enhanced agenda and proactive contacts.
• Partner with others and promote lead generation.
• Meet quarterly and annual sales goals and deepen wallet share by anticipating client needs and recommending appropriate Wealth solutions.
• Identify opportunities in the advisor’s portfolio and network to refer business to Retail and Small Business/Commercial partners.
• Refer clients to Retail, Wealth partners, and affiliates as needed, including transitioning higher-threshold clients to appropriate high-net-worth partners.
• Execute business activities in compliance with federal and state regulations, SRO requirements, and firm policies and procedures.
• Complete required continuing education and adhere to TD Bank and TD Wealth policies and procedures.
• Implement the Customer Identification Program by collecting and verifying customer identification and completing applicable due diligence requirements.
• Foster a positive, constructive work environment and support the overall Wealth team.
• Provide coaching, Wealth referral training, and ongoing feedback to Retail and Small Business staff.
• Contribute as a team member and mentor new Financial Advisors.
• 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 improvements in the partner and customer experience.
• Participate fully as a team member, share information, maintain team communication, and provide leadership, training, or guidance to other team members as needed.
• Travel within the assigned market to meet prospects, clients, and partners five days a week.

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
• Training and onboarding
• Online learning platform
• Mentoring programs
• Variable compensation and incentive awards, including potential cash and/or equity incentive awards

What This Job Offers

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