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9 jobs found

RIA Registered Investment Advisor fiduciary Standard

Zentech Consulting Tampa, FL

12d ago

$150k+/yr Full time Advisor CFP Client Relations

Advisor CFP Client Relations

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Job Description

Experienced fiduciary Investment Advisor needed in Tampa to guide near-retirees and retirees under the RIA standard.

Responsibilities

Provide fiduciary guidance aligned with RIA standards, ensuring recommendations are in the clients' best interests.
Develop comprehensive retirement-focused financial plans covering income strategies, asset allocation, and risk management.
Conduct thorough reviews of client financial situations, including assets, liabilities, tax considerations, estate structures, and retirement income needs.
Advise on retirement income strategies such as income investing, withdrawal sequencing, Social Security optimization, and tax-efficient distributions.
Build and manage diversified portfolios aimed at long-term wealth preservation and income generation.
Monitor portfolio performance and execute proactive rebalancing based on market conditions and client objectives.
Stay informed on market trends, economic conditions, and regulatory developments that may influence investment approaches.
Implement risk-managed strategies prioritizing capital preservation and sustainable income for retirees.
Collaborate with clients and external professionals such as CPAs, estate attorneys, and tax advisors for integrated planning.
Provide guidance on estate planning considerations including wills, trusts, beneficiaries, and wealth transfer strategies.
Advise on tax-efficient investing, required minimum distributions, and retirement account planning.
Foster long-term client relationships through regular reviews and proactive communication.
Educate clients on diversification, retirement income planning, tax considerations, and risk management.
Maintain meticulous records of client interactions, investment decisions, and compliance in line with RIA requirements.

Requirements

Proven experience in investment advisory, wealth management, or financial planning, preferably within an RIA or fiduciary environment.
Strong understanding of retirement income planning, asset allocation strategies, and fiduciary investment practices.
Working knowledge of securities regulations, tax planning concepts, estate planning strategies, and retirement planning frameworks.
Proficiency with financial planning and portfolio management software.
Strong analytical and quantitative skills with the ability to interpret complex financial data.
Exceptional client relationship and communication skills with a consultative advisory approach.

Benefits

Health insurance
Opportunity to join a growing fiduciary wealth management advisory team
Collaborative and client-centered work environment

Position Overview

Seeking an experienced, client-focused Investment Advisor to provide comprehensive guidance to individuals nearing retirement or already retired.
Role aligns with the Registered Investment Advisor fiduciary standard, placing client interests first while delivering disciplined investment strategies.
Partner with clients to design and manage long-term financial plans that prioritize income stability, capital preservation, tax efficiency, and sustainable withdrawal strategies.
The ideal candidate understands retirees' unique challenges, including income planning, longevity risk, healthcare costs, estate planning, and market volatility, and communicates with clarity and integrity.
Requires strong financial expertise, excellent client relationships, and a deep commitment to fiduciary responsibility, transparency, and personalized advice.

Pay

From USD 150,000 per year

Work Location

Onsite in Tampa, FL

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Series 7 Registered Broker

Cobra Trading, Inc. Carrollton, TX

12d ago

$60k - $75k/yr Full time Broker Client Relations Client Service

Broker Client Relations Client Service

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Job Description

Join Cobra Trading as an entry-level Series 7 Registered Broker based in Carrollton, Texas, onsite. The role centers on supporting active trading clients through trade and software assistance, managing accounts, and real-time risk oversight. Candidates must hold both Series 7 and Series 63 licenses. Compensation ranges from USD 60,000 to 75,000 per year.

Responsibilities

Provide trade support to clients, including order processing and execution assistance
Deliver software support for trading platforms and related systems
Oversee client accounts, including onboarding and ongoing relationship management
Monitor and manage real-time risk to support firm-wide risk controls

Requirements

Series 7 and Series 63 licenses (required)
Strong enjoyment in interacting with active trading customers
Experience in Electronic Trading Service and Support
Familiarity with Level II trading applications
Knowledge of US equities and options markets
Ability to assist in real-time risk monitoring and risk management
Ability to multitask in a fast-paced, time-sensitive environment
Self-motivated and energetic personality
Willingness to take on new roles and responsibilities

Technologies

Level II trading applications

Benefits

Health insurance
Dental insurance
Paid time off
Supplemental coverage options available
SEP IRA contribution after 3 years of employment

Hours

7:30 AM to 4:30 PM, Monday through Friday
6:15 AM to 3:30 PM, Monday through Friday
4:00 AM to 1:00 PM, Monday through Friday
8:30 AM to 5:30 PM, Monday through Friday
Exact hours may vary based on business needs
Market holidays off
PTO days available

Preferred Qualifications

Personal trading experience
Project management
Series 4 - Registered Options Principal
Series 3 - National Commodities Futures

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Registered Financial Consultant

Associate Staffing Remote Remote

17d ago

$65k - $78k/yr Full time 401k Advisor Client Relations

401k Advisor Client Relations

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Job Description

Join Associate Staffing as a remote Registered Financial Consultant. This role focuses on an empathetic, client‑first approach to educating individuals about personal retirement accounts, presenting retirement options, and nurturing relationships across investments and finance. The position offers a competitive annual salary range of USD 65,000 to 78,000 and a comprehensive benefits package that supports both professional growth and work‑life balance.

You will be part of a team that values clear communication, proactive problem solving, and dependable client support for internal and external stakeholders.

Responsibilities

Bring deep knowledge of investments, markets, finance, and economic conditions to connect clients with appropriate investment and retirement solutions
Educate current and former participants with investment guidance and risk-based solutions
Serve as the primary support contact for internal and external clients, addressing questions, solving problems, and providing transactional and navigational assistance
Share information about benefit events that relate to personal retirement accounts

Requirements

Bachelor's degree or higher required
Licenses: SIE, Series 7, and Series 66 or Series 63/65 required
Strong customer service skills with active listening, information elicitation, and the ability to understand client issues
Basic computer proficiency, including navigating multiple windows and applications and using search tools to locate information
Knowledge of banking products, policies, and procedures, preferably within a call center environment

Benefits

401(k)
401(k) matching
Dental insurance
Health insurance
Paid time off
Vision insurance

Additional details

Work location: Remote

Job type: Full-time, Permanent

Hybrid note: Position is hybrid if local to the Charlotte, NC or Des Moines, IA area

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RIA Registered Investment Advisor fiduciary Standard

Zentech Consulting Tampa, FL

18d ago

$150k+/yr Full time Advisor Client Relations Client Service

Advisor Client Relations Client Service

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Job Description

Zentech Consulting seeks an experienced Investment Advisor to provide comprehensive financial guidance for individuals nearing retirement or already retired, operating under the Registered Investment Advisor fiduciary standard. This onsite role in Tampa, Florida prioritizes client interests, emphasizes income‑focused planning, and applies disciplined investment strategies tailored for retirees.

Responsibilities

Deliver fiduciary guidance aligned with prevailing RIA standards, ensuring every recommendation serves the client's best interests.
Create holistic retirement‑oriented financial plans, covering income strategies, asset allocation, and risk management.
Perform thorough reviews of client finances, including assets, liabilities, tax matters, estate structures, and retirement income needs.
Advise on retirement focused approaches such as income investing, withdrawal planning, Social Security optimization, and tax‑efficient distributions.
Design and oversee diversified portfolios aimed at long term wealth preservation and income generation.
Track portfolio performance and adjust allocations proactively in response to market shifts and client goals.
Conduct ongoing research on market trends, economic conditions, and regulatory developments that may influence investment strategies.
Implement strategies that prioritize risk management, capital preservation, and sustainable income streams for retirees.
Collaborate with clients and external professionals such as CPAs, estate attorneys, and tax advisors to ensure integrated planning.
Advise on estate planning considerations including wills, trusts, beneficiary planning, and wealth transfer strategies.
Provide guidance on tax‑efficient investing, required minimum distributions (RMDs), and retirement account planning.
Build lasting client relationships through regular financial reviews and proactive communication.
Educate clients on topics such as portfolio diversification, retirement income planning, tax considerations, and risk management.
Maintain meticulous records of client interactions, investment decisions, and compliance documentation in accordance with RIA requirements.

Requirements

Demonstrated experience in investment advisory, wealth management, or financial planning, ideally within an RIA or fiduciary setting.
Strong understanding of retirement income planning, asset allocation strategies, and fiduciary investment practices.
Practical knowledge of securities regulations, tax planning concepts, estate planning strategies, and retirement planning frameworks.
Proficiency with financial planning and portfolio management software.
Strong analytical and quantitative abilities with the capacity to interpret complex financial data.
Exceptional client relationship and communication skills with a consultative advisory approach.

Benefits

Health coverage
Opportunity to join a growing fiduciary wealth management team
A collaborative, client‑focused work environment

Position Overview

Zentech Consulting seeks a seasoned, client‑centric Investment Advisor to deliver thorough financial guidance to individuals approaching retirement or already retired. This role adheres to the Registered Investment Advisor fiduciary standard, placing client interests first while delivering disciplined investment strategies. The advisor will partner with clients to develop and manage long‑term plans that emphasize income stability, capital preservation, tax efficiency, and sustainable withdrawal strategies. The ideal candidate understands retirees' unique financial challenges, including longevity risk, healthcare costs, estate planning, and market volatility, and communicates with clarity and integrity. This onsite position is based in Tampa, FL and requires strong financial expertise, excellent client relationships, and a firm commitment to fiduciary responsibility and transparent, personalized advice.

Pay

Annual base salary: USD 150,000.

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Registered Client Service Associate

Arkansas Talent Group Little Rock, AR

19d ago

$70k - $80k/yr Full time Advisor Associate Client

Advisor Associate Client

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Job Description

Arkansas Talent Group invites you to join a private wealth advisory team in Little Rock, onsite. This position offers a competitive base salary of $70,000 - $80,000 per year, along with an uncapped bonus opportunity. Benefits include comprehensive health, dental, and vision coverage, a 401(k) Safe Harbor plan with profit sharing, and paid time off. This role supports financial planning and client service for a private wealth advisory firm.

Responsibilities

Cultivate and sustain client relationships by addressing inquiries and supporting financial advisors.
Assist in developing and assembling financial plans.
Coordinate fund transfers, execute trades, and process transactions accurately and efficiently.
Plan and organize client meetings, including scheduling, documentation, and updating Salesforce records.
Ensure new business paperwork is completed correctly, submitted on time, and tracked for compliance.
Respond to account inquiries and escalate issues to financial advisors when needed.
Maintain compliance standards and protect client confidentiality.
Provide broad administrative support, including handling calls, processing expense reports, and document management.

Requirements

A bachelor's degree is preferred, ideally in a finance-related field.
Three or more years of related experience.
Series 7 license is required.
Series 66 license required (or Series 63 and Series 65 as an alternative).
Strong analytical and problem solving abilities.
Excellent attention to detail and ability to thrive in a fast paced environment.
Excellent written and verbal communication skills.

Technologies

Salesforce

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Registered Representative - State Farm Agent Team Member

Patrick Buchanan - State Farm Agent Twin Falls, ID

24d ago

$50k - $150k/yr Full time Agent Compliance Customer Relationship Management (CRM)

Agent Compliance Customer Relationship Management (CRM)

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Job Description

Location: Twin Falls, ID

Benefits

Bonus based on performance
Competitive salary
Opportunity for advancement
Paid time off
Training & development

Role Description

As a Registered Representative with Patrick Buchanan - State Farm Agent, you will actively market the financial products that help clients manage everyday risks. Your solid knowledge of financial instruments supports a consultative, sales-oriented approach to guiding customers through their financial options. Your analytical accuracy makes you a valuable resource to clients and a strong addition to a thriving agency.

Responsibilities

Provide investment options and consult securities to customers.
Conduct financial needs analysis and recommend investment products.
Manage customer portfolios and provide ongoing support.
Stay updated on market trends and regulatory changes.
Conduct presentations and seminars on investment topics.
Maintain accurate records of transactions and customer interactions.
Ensure compliance with industry regulations and standards.

Qualifications

Series 6 or 7 license and other relevant certifications.
Strong knowledge of investment products and financial markets.
Communication and customer service skills.
Ability to establish and maintain client relationships.
Detail-oriented with strong analytical skills.
Proficiency with financial software and tools.
High ethical standards and professionalism.

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Paraplanner / Registered Series 7 Associate

TSG Financial Advisors Keokuk, IA

28d ago

$55k - $70k/yr Full time Ameriprise Asset Allocation Associate

Ameriprise Asset Allocation Associate

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Job Description

Role Overview

Join a premier financial planning practice operating within an independent advisor franchisee aligned with Ameriprise Financial. This on‑site Paraplanner position supports financial advisors at a high level while upholding stringent business ethics and regulatory standards. The role focuses on financial planning, portfolio management, insurance, retirement plan administration, and top‑tier client service. Location: Keokuk, IA 52632.

Key Responsibilities

Prepare ongoing financial planning deliverables for clients
Assist with the client implementation process
Analyze clients’ existing holdings and overall asset allocation; provide recommendations for allocation changes and rebalancing
Execute trades as needed
Run portfolio illustrations and hypotheticals
Develop appropriate product deliverables
Provide current economic and market information during portfolio management meetings
Communicate with and service high net worth clients
Utilize a web‑based CRM to monitor client issues
Develop and prepare insurance illustrations
Analyze insurance illustrations and contracts
Track insurance underwriting progress
Keep up with insurance industry trends and complete required continuing education
Manage retirement plan systems such as SRAs, SEPs, and 401(k) plans
Supervise and evaluate paraplanner assistants
Serve as a technical resource, providing training and support to team members
Perform other duties as assigned by the advisor

Minimum Qualifications

FINRA Series 7 license, plus Series 65 or 66
Life and Health insurance license
3 to 5 years of direct experience in the financial services industry
Strong communication and analytical skills
Excellent organizational and multi‑tasking abilities
Tech‑savvy and proficient with modern tools
Positive attitude and motivation for self‑improvement

Compensation and Benefits

Compensation is commensurate with relevant experience.

Pay range: $55,000.00 to $70,000.00 per year
Benefits include 401(k) with employer matching after qualification year; employer‑sponsored health insurance, paid dental, life and disability insurance; and paid vacation, sick time, and holidays per practice policy

Work Details

Location: Keokuk, IA 52632
Work Location: In person

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Paraplanner / Registered Series 7 Associate

TSG Financial Advisors Winter Park, FL

28d ago

$55k - $70k/yr Full time Ameriprise Asset Allocation Associate

Ameriprise Asset Allocation Associate

Paraplanner / Registered Series 7 Associate

TSG Financial Advisors Knoxville, TN

28d ago

$55k - $70k/yr Full time Ameriprise Asset Allocation Associate

Ameriprise Asset Allocation Associate

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