Associate Advisor

We are an independent, established wealth management firm seeking an experienced associate advisor to join our team in San Jose’s vibrant downtown area of Willow Glen. Our ideal candidate is passionate about helping clients articulate and achieve their financial goals through comprehensive wealth management. The candidate will be expected to utilize their planner skills, knowledge, and experience in risk management, estate planning, investment management, and retirement planning. This team member will have a unique opportunity to build rapport and engage long-time clients within an intimate, thriving boutique wealth management firm.  

Essential Duties and Responsibilities:

• Support Lead Advisors in serving the firm's 180 client households (5-7 client meetings per week)
• Assist in analyzing client financial situations and wealth management needs
• Prepare financial models in planning software (eMoney)
• Help develop recommendations for products, plans, investments, and other methods to support clients' financial goals
• Gather and organize client information and assist in preparing reports/presentations (Excel and Word)
• Ensure that all assigned activities are executed in a timely and accurate manner, and that all documentation is maintained to compliance & firm standards
• Have a good understanding of the various operations and administrative functions necessary to opening new accounts, acquisition and transfer of assets, splitting of assets as a result of divorce or death
• Follow up with clients on the firm's action items from client progress meetings
• Maintain detailed and accurate notes from all client interactions
• Develop proficiency in financial planning software (eMoney) and CRM (Redtail) systems
• Maintain professional appearance of the office areas and greet clients & colleagues with genuine positive attitude
• Work collaboratively with the team to support and deepen professional client relationships

Experience:

•  Four year college degree required
•  Minimum 3-5 years industry experience in financial planning and investment management
• Minimum 2 years experience working as an Associate Advisor on client relationships
• Series 7 and 66 securities Licenses
• A valid and active Life and Health Insurance license preferred (may be obtained under a condition of employment)
• CFP® or equivalent professional designation (or scheduled to sit for the CFP® exam within one year of hire date)

Skill Set:

• Strong communicator, both verbal and written, with both colleagues and clients
• Ability to work independently within team structure
• Enthusiasm for developing professional client-advisor relationships
• Detail-oriented, accurate and consistent
• Adaptable multi-tasker that takes initiative
• Desire and ability to thrive in fast-paced environment
• Familiarity with or willingness to learn Redtail, Riskalyze, Holistiplan, eMoney and/or Envestnet
• Must have experience using Outlook and demonstrate intermediate to advanced knowledge of Microsoft Office functions
• Strong analytical and mathematical skills

Base Salary Range: $90,000-$125,000 (commensurate w/ experience any Securities licensing and/or professional designations held) target bonus opportunities (10-15%) tied to team & individual goals.  

We are an active, innovative, and tight-knit team that enjoys an occasional morning visit to Philz. We have a professional and open workspace located in the heart of Willow Glen. We offer a comprehensive compensation package commensurate with experience, skills and licensing. Benefits package includes 15 paid holidays, PTO based on tenure, 401k (with a company match), health insurance, group disability, group life, group vision and dental.

Securities offered through Kestra Investment Services, LLC (Kestra IS), member FINRA/SIPC. Investment advisory services offered through Kestra Advisory Services, LLC (Kestra AS), an affiliate of Kestra IS. Transitions Wealth Advisors is not affiliated with Kestra IS or Kestra AS.