Associate Financial Advisor

Role Summary

We are seeking a Licensed Financial Advisor to join our growing wealth management team in a W2 capacity. This role is designed for an advisor who excels in client engagement, relationship management, and collaborative growth, with the opportunity to build and/or transition a book of business while partnering closely with senior advisors on client acquisition and retention initiatives.

Key Responsibilities

• Co-present client seminars, workshops, and educational events alongside senior advisors
• Build, transition, and grow a personal book of business within firm guidelines
• Serve as a primary point of contact for assigned client relationships, delivering holistic financial planning and investment advice
• Participate in prospecting and business development activities, including referrals, events, and strategic partnerships
• Support onboarding and transition of new client relationships
• Collaborate with internal teams to ensure high-quality client experience
• Maintain ongoing compliance with firm policies and regulatory requirements

Required Licenses & Certifications

• Active Series 65 (or Series 66 with Series 7) required
• Ability to obtain and maintain all firm-specific registrations and state licenses

Experience & Production Expectations

• Minimum 3–7 years of experience in a client-facing financial advisory role
• Existing book of business or demonstrated ability to build toward a target AUM range of approximately $10M–$40M (flexible based on overall profile)
• Proven track record of client acquisition, retention, and relationship management

Compensation & Incentives

• Competitive base salary (W2), commensurate with experience
• Performance-based bonus and/or production incentives
• Potential revenue sharing or override structure tied to growth and firm alignment
• Full W2 employee benefits package

Reporting Line & Team Structure

• Reports directly to the designated Senior Wealth Advisor
• Works in close partnership with senior advisors on seminars, prospect meetings, and client strategy
• Supported by dedicated operations, compliance, and marketing resources

Work Location & Schedule

• Hybrid work environment with flexibility for remote work
• Onsite presence required for client meetings, seminars, and team collaboration
• Occasional evening for client events or educational sessions

Core Skills & Attributes

• Strong presentation and public-speaking skills
• Highly client-focused with the ability to effectively engage our target audience
• Professional, relatable, and confident communication style
• Entrepreneurial mindset with a collaborative, team-oriented approach
• Strong organizational skills and attention to detail
• High ethical standards and commitment to fiduciary responsibility

Compliance & Firm Requirements

• Successful completion of background checks and regulatory disclosures
• Willingness to transfer registrations and adhere to firm compliance standards
• Understanding of applicable fees, rep agreements, and supervisory structures

Optional: First 90-Day Objectives

• Complete onboarding, licensing transfers, and firm training
• Begin transition or development of assigned client relationships
• Establish a documented growth and business development plan

Training & Mentorship

• Structured onboarding and transition support
• Ongoing mentorship from senior advisors and leadership
• Access to firm-sponsored training, marketing, and growth resources

Diversity & Inclusion Statement

We are committed to fostering a diverse, inclusive, and supportive workplace. We encourage candidates from all backgrounds who can effectively engage and serve our client base to apply.

How to Apply

Interested candidates should submit a resume and brief cover letter outlining their experience and interest in the role to jprestigiacomo@sixpointfp.com

Application Timeline:

Initial review will begin immediately, with interviews conducted on a rolling basis.