Financial Advisor (Multiple Levels)-Huntington, Long Island

TD • Huntington, NY

10d • $66,560 - $117,520

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 uses their experience to serve the unique and complex needs of TD Wealth clients by reviewing financial goals and making investment recommendations aligned with those goals. The role is the central point of contact for client service and relationship development, helping clients pursue asset accumulation, preservation, growth, and protection.

Financial Advisors manage client relationships, deliver a differentiated service experience, meet sales goals, and identify opportunities to deepen relationships and refer clients to appropriate TD partners. They are expected to provide planning experiences and annual client reviews, maintain regulatory and policy compliance, and support the broader Wealth team through collaboration, coaching, and mentoring.

This position requires frequent travel within the assigned market and territory to meet prospects, clients, and partners. The role is subject to FINRA and securities-law requirements and requires satisfactory background and related screening results.

Requirements

• At least 2 years of experience providing advice, financial planning, and investment sales.
• SIE, Series 7, and Series 63 licenses are required.
• Must have Life and Health (L&H) and Series 66 (or equivalent), or be able to obtain them 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 meet FINRA eligibility standards and satisfy applicable investigation and verification requirements.
• Satisfactory criminal background, credit report, civil litigation, and regulatory or self-regulatory organization enforcement-action checks are required.

Nice To Haves

• Bachelor’s degree strongly preferred.

Responsibilities

• Provide financial planning guidance and sell investment management solutions aligned with clients’ financial goals.
• Serve as the primary point of contact for TD Wealth client relationships and manage clients’ relationships with TD Bank.
• Complete client discovery, financial needs analysis, onboarding, required documentation, and introductions to centralized servicing teams as appropriate.
• Ensure new and existing clients receive a planning experience and an Annual Client Review with an agenda focused on their overall wealth needs, along with proactive contacts.
• Deliver a customer-centric, differentiated service experience that supports client retention and growth.
• Meet quarterly and annual sales goals and deepen wallet share by anticipating client needs and recommending appropriate Wealth solutions.
• Partner with colleagues to promote lead generation and refer business to Retail, Small Business, Commercial, and Wealth partners or affiliates as appropriate.
• Identify client assets and transition higher-threshold clients to appropriate high-net-worth Wealth partners when needed.
• Execute business activities in compliance with applicable regulations, firm policies, procedures, and continuing education requirements.
• Implement TD’s Customer Identification Program by collecting and verifying customer identification information and completing applicable due diligence requirements.
• Foster a positive and 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 a team member and mentor to new Financial Advisors.
• Represent TD Wealth professionally to the public and participate in community and charitable initiatives.
• Support the Bank’s customer service strategy and contribute to ongoing improvement of the customer and partner experience.
• 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
• Training and onboarding
• Access to an online learning platform and mentoring programs
• Base salary and variable compensation or incentive awards, including potential cash and/or equity incentive awards

What This Job Offers

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