Senior Financial Advisor

About the Company

We are seeking an accomplished Senior Financial Advisor with an established book of business who is motivated to accelerate growth within an independent broker-dealer platform. This role is ideal for an entrepreneurial advisor who values autonomy, ownership of client relationships, and the ability to scale their practice while leveraging robust broker-dealer resources.

About the Role

This role is designed for a growth-oriented advisor who wants the flexibility and economics of an independent broker-dealer while maintaining full ownership of client relationships. You will have the freedom to run your business your way, supported by a platform that enables expansion, efficiency, and long-term value creation - without succession obligations or future exit requirements.

Responsibilities

• Own, manage, and expand an established book of business with full accountability for client relationships and outcomes
• Deliver comprehensive, client-centric financial advice across investments, retirement, insurance, and holistic planning
• Deepen relationships with existing clients through proactive engagement, expanded services, and personalized strategies
• Actively generate new business through referrals, professional networks, and targeted prospecting efforts
• Collaborate with internal specialists (planning, investment, insurance, and product partners) to deliver sophisticated solutions
• Utilize independent broker-dealer tools, technology, and platforms to enhance efficiency, scalability, and client experience
• Drive consistent growth in AUM, revenue (GDC/T12), and wallet share
• Operate as a trusted advisor and business owner, managing your practice with a high degree of independence and accountability

Qualifications

• Bachelor’s degree in finance, business, accounting, or a related field (preferred)
• 7+ years of experience as a Financial Advisor with a proven, portable book of business
• Demonstrated success growing AUM, generating referrals, and closing new client relationships
• Series 7 and 63, 65 or 66 licenses required
• Life, Accident & Health Insurance license required

Required Skills

• Strong consultative sales approach with a fiduciary, client-first mindset
• High level of professionalism, ethics, and compliance discipline
• Strong interpersonal, communication, and relationship management skills
• Entrepreneurial drive with the desire to build, scale, and control your practice
• Clean U4 and ability to pass criminal and credit background checks

Preferred Skills

None specified.

Pay range and compensation package

None specified.

Equal Opportunity Statement

We are committed to diversity and inclusivity.