Series 4

Series 4 Finance Jobs

153 jobs found

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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Job Description

Overview

This on‑site role supports a fast‑paced, client‑focused financial planning practice operating as an independent advisor franchisee with Ameriprise Financial. You will collaborate with financial advisors as a Paraplanner and registered associate, ensuring smooth daily operations and adherence to high standards of business ethics and regulatory requirements. The position centers on financial planning, portfolio management, insurance and retirement plan administration, and exceptional client service for a high‑quality advisory practice.

Position Functions and Responsibilities

Prepare ongoing financial planning deliverables for client engagements
Assist in guiding clients through the implementation process
Analyze clients existing holdings and overall asset allocation to recommend allocation changes and rebalancing as needed
Execute trades as required
Produce portfolio illustrations and hypothetical scenarios
Develop appropriate product deliverables for client reviews
Provide relevant, current economic and market information during portfolio management meetings
Communicate with and service high net worth clients
Utilize a web‑based contact management system to monitor client issues
Develop and prepare insurance illustrations
Analyze insurance illustrations and contracts
Track insurance underwriting progress
Stay informed on insurance industry trends and complete required continuing education courses or seminars
Manage retirement plan systems such as SRAs, SEPs, 401(k)s, and related programs
Supervise and evaluate a paraplanner assistant
Act as a technical resource, providing training and support to team members
Perform other duties assigned by the advisor

Minimum Qualifications

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

Compensation

Salary range: $55,000.00 to $70,000.00 per year. Compensation is commensurate with relevant experience.

Benefits

Paid vacation, sick days, and holidays per practice policy
Employer sponsored health insurance, paid dental, life and disability insurance
401(k) after a qualified year of employment

Location

Work location: In person, Knoxville, TN 37909

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Financial Advisor

Durhamloyal Pembroke Pnes, FL

28d ago

$56k - $150k/yr Full time Marketing Advisor Client Relationship Management

Marketing Advisor Client Relationship Management

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Job Description

Financial Advisor with an active Series 6 or Series 7 license to join our growing retirement planning team. This role focuses on helping individuals plan for retirement income, Social Security strategies, and long-term financial security. Pre-qualified leads are provided.

Responsibilities

Meet with individuals interested in retirement planning
Provide guidance on retirement income and protection strategies
Build long-term relationships with clients

Requirements

Active Series 6 or Series 7 license
Strong communication and presentation skills
Professional and client-focused mindset

What We Offer

Pre-qualified leads provided
Educational seminars provided
Marketing support and team environment
Competitive compensation and income potential
Join a team dedicated to helping individuals achieve a secure and confident retirement

Salary

Pay: $56,384.11 - $150,000.00 per year

Benefits

Dental insurance
Health insurance
Paid time off
Professional development assistance
Vision insurance

Work Location

In person

Location

Pembroke Pnes, FL 33028

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Wealth Advisor, Schwab Wealth Advisory

Charles Schwab Atlanta, GA

28d ago

$100k - $140k/yr Full time Advisor Advisory CFA

Advisor Advisory CFA

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Job Description

Your opportunity

At Schwab, you have the chance to make a meaningful impact on clients and the finance industry by embracing innovative thinking and proactive problem solving. As a Wealth Advisor within Schwab Wealth Advisory, you join a premier, fee-based, non-discretionary investment advisory solution that centers on a personal relationship, tailored service, and ongoing guidance grounded in Schwab’s investment approach. You will operate as a fiduciary on a dedicated Schwab Wealth Advisory team to deliver an exceptional client experience. SWA’s approach enables you to leverage a broad range of products including stocks, bonds, ETFs, mutual funds, separately managed accounts, and option trading to help clients manage complex portfolios and reach their goals. You’ll collaborate with an experienced, collaborative team and strengthen relationships with key partners, including leading industry advisors. If you’re looking to grow your wealth management expertise within a firm that challenges you to broaden your skills while helping clients, this could be the opportunity for you. We expect the selected candidate to work on site in the specified locations.

Position Type: Regular

Location: Atlanta, GA 30361

What you have

Bachelor’s degree
Active FINRA Series 7 license (may be obtained with a 120-day condition of employment for certified and current CFP designation or CFA designation holders, verified before hire)
Active FINRA Series 66 license (may be obtained within the first 120 days)
Three or more years of advisory experience, including creating and customizing financial plans and portfolios for clients
Five or more years in the financial services industry working directly with clients

Preferred Qualifications

CFP or CFA designation
Superior relationship management and client retention experience
Polished interpersonal, communication and presentation skills, with attention to detail

In addition to the salary range, this role is also eligible for bonus or incentive opportunities.

What’s in it for you

Schwab supports you in shaping your future through meaningful work, ongoing learning, and a culture built on trust and collaboration, enabling you to develop the skills to make a lasting impact. Our Hybrid Work and Flexibility approach balances continued client service with the value of in-person collaboration on a regular basis.

We offer a competitive benefits package that addresses today’s needs and tomorrow’s security, including:

401(k) with company match and Employee Stock Purchase Plan
Paid time off for vacation, volunteering, and a 28-day sabbatical after every five years of service for eligible positions
Paid parental leave and family building benefits
Tuition reimbursement
Health, dental, and vision insurance

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Sr Manager, Wealth Advisor - Schwab Wealth Advisory

Charles Schwab Atlanta, GA

28d ago

$135k - $185k/yr Full time Manager Senior Advisor

Manager Senior Advisor

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Job Description

Overview

Position Type: Regular. At Schwab, you are empowered to make an impact on your career. Here, innovative thought meets creative problem solving, helping us challenge the status quo and transform the finance industry together. We value in‑office collaboration and expect the selected candidate to work on site in the specified locations. As a Senior Manager, Wealth Advisor within Schwab Wealth Advisory (SWA), you will join a premier, fee‑based, non‑discretionary investment advisory solution, delivering a personal relationship, specialized service, and ongoing guidance built on Schwab’s approach to investing. You will directly impact clients' lives by serving as a fiduciary within a dedicated Schwab Wealth Advisory team to deliver an exceptional client experience. SWA’s advice philosophy enables you to use a broad range of products, including stocks, bonds, ETFs, mutual funds, separately managed accounts, and options trading, equipping you to help clients manage complex portfolios and reach their goals. You will collaborate with an experienced, collaborative team, while deepening relationships with various partners, including leading advisors. You will also have the opportunity to mentor junior SWA team members. If you are looking to grow with a firm that challenges you to deepen your wealth management expertise while helping clients, this opportunity may be a fit.

What you have

CFP® designation or CFA® designation
Bachelor’s degree
Active and valid FINRA Series 7 license (may be obtained with a 120-day condition of employment)
Active and valid FINRA Series 66 license required (may be obtained with a 120-day condition of employment)
Five or more years of advisory experience, including creating and customizing financial plans and portfolios for clients

Preferred Qualifications

Five or more years working directly with clients in the financial services industry highly preferred

Compensation

In addition to the salary range, this role is also eligible for bonus or incentive opportunities.

What’s in it for you

At Schwab, you’re empowered to shape your future. We support your growth through meaningful work, ongoing learning, and a culture of trust and collaboration, helping you build the skills to make a lasting impact. Our Hybrid Work and Flexibility approach balances our commitment to workplace flexibility, serving our clients, and the value of being together in person on a regular basis.

Benefits

401(k) with company match and Employee stock purchase plan
Paid time for vacation, volunteering, and a 28-day sabbatical after every 5 years of service for eligible positions
Paid parental leave and family building benefits
Tuition reimbursement
Health, dental, and vision insurance

Location

Atlanta, GA 30361

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Financial Consultant Partner - International Branch

Charles Schwab Orlando, FL

28d ago

$56k - $101k/yr Full time Affluent Branch Business Development

Affluent Branch Business Development

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Job Description

Your opportunity

At Schwab, you are empowered to make a meaningful impact on your career. Here, innovative thinking meets practical problem solving as we aim to challenge the status quo and transform the finance industry together. The selected candidate will work on site in the specified location. This role is part of the International Branch network, which provides Wealth Management to cross-border (non-US resident) clients to meet their financial needs. In partnership with International Financial Consultants (FCs) and International Wealth Consultants (WCs), the Financial Consultant Partner will support the growth and management of an affluent wealth management practice. This includes servicing clients, growing client relationships, and delivering advice to the practice clients of the Senior Financial Consultant. The Financial Consultant Partner will help grow the practice by partnering with FCs and WCs to pursue business development opportunities. As a Financial Consultant Partner, you are at the core of the team, serving as a trusted partner to our International FCs and WCs and their practice clients. Through your expertise, you will deepen new and existing client relationships, identify growth opportunities, and continue learning along the way. You will support the growth and management of an affluent wealth management practice, delivering exceptional service, guidance, and relationship management. If you are a licensed financial professional with a passion for wealth management and a desire to grow under the mentorship of a seasoned advisor, this could be an excellent fit for you.

Location: Orlando, FL 32802

Position Type: Regular

What you have

Required Qualifications

A valid and active 7, Series 66 (63/65) license required (*license(s) may be obtained under a condition of employment*)
Fluency in Mandarin language used to support International clients

Preferred Qualifications

3+ years of Financial Services Industry Experience
Strong written and verbal communication skills
Strong candidates will have a proven track record to handle several tasks simultaneously and effectively prioritize
Ability to identify new relationship development
Openness to build, refresh, and deliver financial plans for practice clients in partnership with your Sr. Financial Consultant(s)
Ability to uncover and meet client needs and effectively manage client expectations
Ability to build and maintain good cross-enterprise working relationships
Strong candidates will also gain experience updating and compiling client information through Schwab’s internal customer relationship management (CRM) tool
Openness to manage local and virtual events, as needed

What’s in it for you

In addition to the salary range, this role is eligible for bonus or incentive opportunities.

401(k) with company match and Employee stock purchase plan
Paid time for vacation, volunteering, and a 28-day sabbatical after every 5 years of service for eligible positions
Paid parental leave and family building benefits
Tuition reimbursement
Health, dental, and vision insurance

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Financial Consultant Partner - International Branch

Charles Schwab Westlake, TX

28d ago

$56k - $101k/yr Full time Affluent Branch Business Development

Affluent Branch Business Development

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Job Description

Opportunity and Responsibilities

At Schwab, you are empowered to make a meaningful impact on your career. The role blends innovative thinking with practical problem solving to help us advance the finance industry. On-site collaboration is important, and the selected candidate is expected to work at the specified location. This position is part of the International Branch network, which focuses on providing Wealth Management services to cross-border clients who are non-U.S. residents. In collaboration with International Financial Consultants (FCs) and International Wealth Consultants (WCs), the Financial Consultant Partner supports the growth and management of an affluent wealth management practice. This includes servicing clients, expanding client relationships, and delivering guidance to the practice clients of the Senior Financial Consultant. The Financial Consultant Partner helps grow the practice by working with FCs and WCs to pursue business development opportunities. As a Financial Consultant Partner, you will be at the center of activity, serving as a trusted partner to our International FCs and WCs and their practice clients. With your expertise, you will deepen new and existing client relationships, identify business opportunities, and contribute to the growth and management of the practice through exceptional service, advice, and relationship management. If you are a licensed financial professional with a passion for wealth management and a desire to grow under the mentorship of an experienced advisor, this role could be a fit.

What you have

Required Qualifications

A valid and active Series 66 (63/65) license is required; licenses may be obtained as a condition of employment.
Fluency in Mandarin to support international clients.

Preferred Qualifications

3+ years of experience in the Financial Services industry.
Strong written and verbal communication skills.
Ability to manage multiple tasks simultaneously and prioritize effectively.
Proven track record in identifying new relationship development opportunities.
Openness to build, refresh, and deliver financial plans for practice clients in partnership with the Senior Financial Consultant(s).
Ability to identify client needs and manage expectations accordingly.
Ability to build and maintain strong cross-enterprise working relationships.
Experience updating and organizing client information through Schwab's internal CRM tool.
Willingness to manage local and virtual events as needed.

Compensation and Benefits

In addition to the salary range, this role is eligible for bonus or incentive opportunities.

401(k) with company match and Employee Stock Purchase Plan (ESPP).
Paid time off for vacation, volunteering, and a 28-day sabbatical after every five years of service for eligible positions.
Paid parental leave and family building benefits.
Tuition reimbursement.
Health, dental, and vision insurance.

Location and Work Arrangement

Location: Westlake, Texas 76262. The role requires on-site work at the specified location to support collaboration and client engagement.

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Director, Research and Portfolio Strategy

Vicus Capital State College, PA

28d ago

$115k - $150k/yr Full time Alternative Investments Asset Allocation Director

Alternative Investments Asset Allocation Director

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Job Description

Location

Position based at our headquarters in State College, Pennsylvania. Relocation assistance is not provided, and remote work is not available for this role.

What Are We Looking For

We seek a candidate who is genuinely passionate about investing and prefers managing client capital over relying on automated models. This team member will join our investment committee, so prior experience in investment allocation decisions is essential, ideally within an RIA setting, with demonstrable examples of overweighting and underweighting asset classes such as growth versus value, large versus small cap, international versus domestic equity, and equity versus fixed income. Investment ideas are generated both independently and with the team, and all members are encouraged to challenge and defend any investment thesis.

What Are You Looking For

As a dedicated analyst with a talent for asset allocation decisions, you aim to have a larger voice in portfolio management and influence across a range of investment strategies. You want to be involved in portfolio construction decisions and prefer working on a small, focused team that strives to make a meaningful difference in clients’ financial futures.

Position Summary

The Director, Research and Portfolio Strategy will lead the investment research initiatives within our Investment Strategy team and report to the CEO. This group works alongside the Chief Market Strategist, conducting thorough due diligence on mutual funds, ETFs, Private Alts, SMAs, and other vehicles used across client accounts, and producing detailed fundamental research to shape asset allocation across our broad set of strategies. As a member of the Investment Committee, this role requires a passion for investing and markets with a strong focus on research, portfolio allocation and manager due diligence. The ability to clearly communicate complex investment concepts to varied audiences is essential.

Principal Duties and Responsibilities

Conduct allocation research for dynamic and strategic portfolio positioning, covering asset classes, segments, and sectors
Perform investment research and due diligence on mutual funds, ETFs, Private Alts, SMAs, and related vehicles
Prepare commentaries and present investment theses
Serve as a member of the Investment Committee
Manage a team of analysts
Collaborate with senior management and other Investment Strategy team members to deliver exceptional service to advisors nationwide
Act as a liaison and product expert for clients (financial advisors)
Communicate investment ideas and concepts at different levels of sophistication
Lead or participate in investment and operational projects as needed

Required Skills and Qualifications

Bachelor’s degree
Series 65 registration or successful completion within 90 days of hire
7+ years of experience in an investment analyst role
Experience performing manager due diligence
Exposure to multi-asset class allocation decision making
Preferably within an RIA
Must have a relevant industry designation (CFA, CMT, CIPM, FRM, etc.)
Experience leading a team and developing analysts
Ability to write commentaries and present investment themes in written format
Strong proficiency with Microsoft Excel
Organizational skills and a track record of meeting deadlines
Demonstrated ownership of tasks and projects
Exceptional attention to detail, accuracy, and follow-through
High degree of professionalism and work ethic
Strong listening and communication skills
Can do attitude and high energy

Preferred Skills and Qualifications

10+ years of experience
Experience working with financial advisors or RIAs
Knowledge of some or all of the following a plus: Bloomberg, Morningstar DAS, Morningstar Direct, Fidelity WealthScape, Schwab Advisor Center, FactSet, Black Diamond

Company

Vicus Capital is an independent investment management firm with over $3 billion in AUM headquartered in State College, Pennsylvania. As a Registered Investment Advisor (RIA), we develop innovative investment strategies and cutting-edge tools for financial advisors nationwide, delivering elite service and a standout experience to both advisors and their clients. We take pride in fostering a family atmosphere and a rewarding work environment for all employees. Our staff are entrusted to own their work, and we do not practice micro-management. Evolving opportunities and advancement are encouraged.

Benefits

This is a full-time salaried position with an incentive compensation package. A comprehensive benefits package includes health insurance, dental and vision coverage, group life insurance, short term disability, and a 401(k) plan with safe harbor employer contributions.