Associate Advisor

Raymond James; Santa Clarita (CA); On-site; USD 100,000 - 150,000; Full time

Benefits offered by this job

Medical

Retirement + Match

PTO

Job summary

Schramm Capital in Santa Clarita, CA seeks an Associate Advisor who is passionate about excellence, relationship-building, and helping clients pursue what matters most.

You will proactively manage client relationships, schedule meetings, review portfolios, ensure compliance, and support the team with essential administrative work. Requires 3+ years’ industry experience and licenses SIE, Series 7, 63, 65/66. On-site, 8:30–5:00; salary $100,000–$150,000 with discretionary bonus.

Qualifications

• 3+ years of industry experience
• SIE, Series 7, Series 63, 65/66 licenses as required by state
• Proficient in CRM and Microsoft Office

Responsibilities

• Proactively manage and deepen relationships with assigned clients, ensuring timely and effective communication and service.
• Main point of contact for all client needs and ensure all client concerns are addressed.
• Schedule, attend, and facilitate client meetings to review portfolios, performance, and goals.
• Manage client referrals, ensuring smooth onboarding and integration into the firm.
• Conduct quarterly and annual client reviews to align their financial goals with any changing life circumstances.
• Provide updates on market trends, portfolio performance, and relevant changes that impact their financial plans.
• Ensure clients feel heard and valued, handling specific requests, life events, or personal circumstances in a personalized way.
• Send personalized communication (cards, videos, etc.) to strengthen client engagement on significant life events.
• Ensure that all compliance standards are met for client documentation and communication.
• Actively contribute to the firm’s ability to focus on high-level strategy by handling detailed administrative work related to client meetings.

Skills

CRM software

Microsoft Office

Effective communication

Education

SIE, Series 7, Series 63, 65/66 licenses

Job description

Job Description

Join a firm that puts people before portfolios. At Schramm Capital, we help successful individuals, families, and business owners navigate the complexities of wealth with customized strategies and dedicated support.

Our team is committed to delivering an elevated client experience through thoughtful planning, personalized advice, and long-term partnership. As we grow, we are seeking an Associate Advisor who is passionate about excellence, relationship-building, and helping clients pursue what matters most. Are you ready? Let’s uncover the possibility of working together.

Essential Duties And Responsibilities

• Proactively manage and deepen relationships with assigned clients, ensuring timely and effective communication and service.
• Main point of contact for all client needs and ensure all client concerns are addressed.
• Schedule, attend, and facilitate client meetings to review portfolios, performance, and goals.
• Manage client referrals, ensuring smooth onboarding and integration into the firm.
• Conduct quarterly and annual client reviews to align their financial goals with any changing life circumstances.
• Provide updates on market trends, portfolio performance, and relevant changes that impact their financial plans.
• Ensure clients feel heard and valued, handling specific requests, life events, or personal circumstances in a personalized way.
• Send personalized communication (cards, videos, etc.) to strengthen client engagement on significant life events.
• Ensure that all compliance standards are met for client documentation and communication.
• Actively contribute to the firm’s ability to focus on high-level strategy by handling detailed administrative work related to client meetings.

Knowledge of

• Company’s working structure, policies, mission, and strategies
• Managed account platforms
• General office practices, procedures, and methods
• Investment concepts, practices, and procedures used in the securities industry
• Financial markets, products, and industry regulations
• Trading terminology
• Financial planning software

Skill in

• Client Relationship Management (CRM) software
• Microsoft Office Suite
• Effective communication (in-person, virtual, phone, and mail)

Ability to

• Familiarity with software applications, such as Excel, to produce correspondence, reports, electronic communication, spreadsheets, and databases
• Analyze and research account information
• Handle stressful situations and provide a high level of client attention in a calm and professional manner
• Analyze problems and establish solutions in a fast-paced environment
• Use appropriate interpersonal styles and communicate effectively
• Work both independently and as part of a cohesive team
• Demonstrate competence, dependability, and responsibility

Licenses/Certifications

• SIE, Series 7, Series 63, 65/66 as required by state

Education/Experience Requirements

• 3+ years of industry experience

Travel: None required

Benefits: Medical, Retirement + Match, PTO

Compensation: $100,000 - $150,000, based on experience + discretionary bonus

Workstyle: On-site, 8:30a – 5:00p

Schramm Capital and its employees are independent contractors with respect to Raymond James, not employees of Raymond James. The term “Raymond James” include but is not limited to Raymond James Financial Services, Inc. (“RJFS”) and Raymond James Financial Services Advisors. Inc. (“RJFSA”) as affiliates.

PLEASE NOTE: The benefits link and benefits description below do not apply to this job posting because the hiring entity is a RJFS independent branch and all RJFS associates at this branch are independent contractors with respect to Raymond James. If you are offered a position by this RJFS branch, employment and benefits will solely be offered by the branch and not by Raymond James.

The total compensation for this position includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions. This position is eligible for a benefits package that may include medical, dental, and vision; life insurance; critical illness insurance and accident insurance; disability benefits; retirement savings; paid time off (including vacation, holidays, and sick leave); and parental leave. Eligibility for benefits and specific offerings may vary based on position and employment status. To view more details of the benefits offered, visit Myrjbenefits.com

At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view.

We Expect Our Associates At All Levels To

• Grow professionally and inspire others to do the same
• Work with and through others to achieve desired outcomes
• Make prompt, pragmatic choices and act with the client in mind
• Take ownership and hold themselves and others accountable for delivering results that matter
• Contribute to the continuous evolution of the firm

At Raymond James – as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.

Travel: Less than 25%

Workstyle: Resident

Salary Range: $70,304.00-$150,000.00