Job Description
About the Opportunity
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Our client is a nationally recognized, full-service wealth management firm with a large branch network and an established brand in the wirehouse space. The firm offers advisors a robust investment platform, established brand recognition, banking and lending referral capabilities, and a competitive transition package for advisors bringing an existing client relationship base.
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Position Summary
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The firm is seeking an experienced Financial Advisor to join a established branch and transition an existing, portable book of business onto the firm's platform. This is not a build-from-scratch role — candidates must have a demonstrated, transferable client base and a track record of client retention through prior transitions.
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Minimum Requirements
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- Minimum of $20 million in portable, transferable assets under management (AUM) with a demonstrated ability to move the book to a new platform.
- Active FINRA Series 7 and Series 66 (or Series 63 & 65) registrations; SIE.
- Minimum 3–5 years of experience as a producing Financial Advisor, ideally within a wirehouse, regional broker-dealer, or bank-affiliated brokerage environment.
- Clean U4 filing and BrokerCheck record — no unresolved regulatory disclosures.
- Demonstrated history of AUM growth and client retention, not solely account inheritance or team-assigned books.
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Preferred Qualifications
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- CFP®, CFA, or other relevant professional designation.
- Experience serving high-net-worth or mass-affluent clients with a full-service planning approach (investment management, retirement income, estate and tax coordination).
- Existing referral network (CPAs, attorneys, business owners) that supports organic growth beyond the transferred book.
- Bachelor's degree in Finance, Business, Economics, or related field.
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What the Firm Offers
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- Access to a full-service investment platform, including managed money, alternative investments, banking, and lending referral capabilities.
- Marketing, administrative, and client service support to enable a smooth transition and continued growth.
- Brand recognition and infrastructure that supports both retention of the existing book and new client acquisition.
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