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Financial Advisor buy in US, Free Classifieds Ads

Job Description

TARGET PROFILE:



  • An investment advisor currently working within the limits of a commission-based model, who would welcome the opportunity to better serve clients in an fee-only relationship;


 



  • An investment professional who is currently providing advisory services on a fee basis for a large investment firm, who appreciates the value of customized strategies enabling them to more rapidly and pro-actively manage the service delivery on behalf of their valued clients;


 



  • An investment advisor looking to retire within the next 5 years who is looking for an exit strategy for their book of clients. We stand ready to purchase the book of business for a reasonable value helping to support your current retirement plan.


 


REQUIRED: The successful candidate for the financial advisor position will have the following qualifications and experience:


 


Bachelors Degree / Masters In Business Administration or relevant discipline (or equivalent experience), CFP, CFA or CPA or an experienced investment / financial advisor / broker / planner with:


 



  • Security licenses show professional accreditation. However, There are limited requirements for an active Series 7 license, Series 63 or 65 or 66. Why, because we are a Registered Fee Only Investment Advisor with the Securities and Exchange Commission and we do not sell commissioned investment products. We require a clean history of securities compliance and your willingness to be able to pass a comprehensive background check;



  • Buy-side (comprehensive client wealth management) versus sell-side orientation


  • Seeking to transition from a commission-based model to a fee based model, or seeking a better and more diverse platform from which to serve existing fee-based clients


  • Established client base and complementary rolodex of prospective clients, including a fairly portable, ongoing book of business of least 20 Million Dollars in registered securities or mutual funds. We are not looking for annuity or insurance business.


  • Demonstrated organizational skills and superior written and verbal communication skills


  • A strong fit from an inter-personal and chemistry perspective that resonates with our partners, the professional and administrative support staff;



 


 


Benefits include 401K, health benefits, and more. If you are a small to mid-size independent financial advisor wishing you could focus more time and energy on sitting in front of prospects and clients to grow your business, let's talk.


 


Christopher Cardali


Regional Vice President



Company Description
Fee-based Registered Investment Advisor (RIA), is actively seeking to recruit financial advisors and small RIA firms advisors in the Rochester area. With roughly $730M under management and 20+ years longevity, the firm is offering exceptional investment, operations, business administration, and compliance support. You will get technical support from our portfolio managers ranging from individual stock, individual bonds, mutual fund and ETF management, and our financial planning service team to expedite the business development and client service processes. In addition, you should have a small, established, and portable client base to transition to our firm that you will continue to serve and develop.


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