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Producing Financial Advisor

Job Description 

The Producing Financial Advisor role is to understand a client's financial goals and then assist in creating strategies to achieve them, while also working towards increasing revenue for the firm. Financial advisors must be able to understand, and analyze, market trends and to provide sound financial advice based on various financial indicators.

Responsibilities include:

  • Serves as an advisor to provide an advice-based approach to financial solutions for an assigned book of business.
  • Actively solicits new and existing financial planning and investments solutions from business owner, retiree, executive and young professional  client segment
  • Based on individualized needs analysis, collaborates with Financial Advisory team to create recommendations for customized financial solutions to current and potential customers.
  • Profiles clients and deliver recommendations to ensure these needs are met.
  • Uses sales tools and modules to conduct the analysis and offer the best advice and products and customer understanding of solutions.
  • Delivers a diversified set of investment and advice-based solutions with a financial planning mindset to meet the individualized investment needs of current and potential clients.
  • Increases assets under management by offering planning and investment solutions to clients and leveraging partnerships with centers of influence and current clients.
  • Provides financial planning services by advising the customer on the advantages and disadvantages of different product decisions in alignment with their individual needs.
  • Follows firm process of regularly meeting with clients to make adjustments to strategies based on their current situation and goals.
  • Meets or exceeds established sales goals for assigned market, while meeting individual client needs and complying with pertinent policies and regulations.
  • Maintains and builds referral channel and develop strong partnerships to ensure investment needs of current and potential customers in assigned Market and/or branches are met or exceeded.
  • Understands and adheres to the company’s risk and regulatory standards, policies, and controls. Maintains internal control standards, including timely implementation of internal and external audit points together with any issues raised by external regulators as applicable.
  • Completes other related duties as assigned.


  • Prior business development experience necessary (5+ years)
  • Vast networking skills
  • Good written and verbal communication skills
  • Team player, collaborative, able to work with and through others
  • Desire/ability to work successfully in a small company environment

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