Financial Advisor

Jobtailor; Walnut Creek (CA); On-site; USD 70,000 - 110,000; Full time

Job summary

Merrill is seeking a Financial Advisor role in the Walnut Creek, CA area to manage high-net-worth client relationships, assess financial objectives, and prepare comprehensive investment recommendations. You will prospect new clients, leverage referrals, and collaborate with internal partners to deliver tailored solutions.

Applicants should hold Series 7 and 66 licenses or equivalent, with at least one year of investment industry experience and strong communication skills.

Qualifications

• High school diploma or equivalent required; FINRA/FDIC compliance knowledge preferred.
• Proven ability to engage with and influence others.
• Experience in financial services or a sales environment with measurable results.

Responsibilities

• Identify client needs, develop relationships, review financial goals, and prepare investment recommendations.
• Source prospective clients and leverage referrals to grow a book of business.
• Collaborate with internal partners and document client interactions in Salesforce.
• Position Merrill and Bank of America capabilities to clients and prospects.
• Adhere to KYC procedures and ensure regulatory compliance.

Skills

Client relationship management

Sales experience

Effective communication

Team collaboration

Goal orientation

Entrepreneurial mindset

Prospecting

Financial needs assessment

Listening and probing

CRM documentation

Education

High school diploma / GED

Tools

Microsoft Word

Microsoft PowerPoint

Microsoft Excel

Job description

• Work with high-net-worth clients with annual revenues of $100,000-$5 million
• Identify client needs, develop relationships, review investment and financial goals, and prepare comprehensive investment recommendations
• Leverage technology to achieve business growth goals and conduct profiling activities to determine client financial objectives
• Drive initiatives to maximize impact to clients and prospects
• Assist with execution of business development plans
• Develop and grow a book of business to meet or exceed established performance hurdles
• Source prospective clients, capitalize on referrals, assess customer needs, refer customers to appropriate internal specialists, and execute customized solutions
• Recommend suitable investment products and services based on objectives, resources, time horizon, risk profile, and preferences
• Balance investment growth, referral activities, customer follow-up, prospect building, administrative compliance, and personal development
• Organize and manage time, people, and budget to run a productive practice
• Seek specialist expertise to identify client planning and investment strategies
• Complete mandated training, assessments, performance goals, and continuing education requirements
• Handle inbound inquiries from leads regarding Merrill offerings
• Position Merrill and Bank of America capabilities
• Collect client profile data and follow standard KYC procedures to open accounts
• Serve as interim Financial Advisor and service client accounts
• Document client interactions and opportunities accurately in Salesforce
• Collaborate with and receive mentorship from Merrill Financial Advisor Teams, core banking partners, and investment partners

Requirements

• Currently holds Series 7 and 66 licenses, or equivalent Series 63 and 65 licenses in lieu of Series 66
• Minimum of one year of experience in the investments industry, including investment training and in-depth knowledge of investment products and services
• Minimum of one year of experience working in the financial service industry and/or a sales environment where goals were met or exceeded
• Proven ability to engage with and influence others
• Exceptional interpersonal and relationship building skills with ability to quickly build trust and credibility
• Effective written and verbal communication skills
• Ability to listen and probe for clarity and understanding, assess needs, and recommend appropriate solutions/interventions
• Ability to work collaboratively on a team and with key partners
• Goal and results oriented with strong follow-through skills
• Entrepreneurial mindset with ability to source clients through extensive prospecting and networking
• Ability to work where the majority of compensation is tied to performance
• Computer/technical literacy and proficiency in Microsoft Word, PowerPoint, and Excel
• High School Diploma / GED / Secondary School or equivalent
• SAFE Act registration and required background check
• Ability to meet applicable FDIC, Safe Act, Loan Originators, and FINRA hiring requirements

Core Competencies

Demonstrates expertise in client relationship management and investment strategy development, leveraging strong communication and interpersonal skills to build trust with high-net-worth clients. Proficient in utilizing technology and financial tools to drive business growth and meet performance goals.

Highest-signal resume keywords

• Series 7 License
• Series 66 License
• Investment Product Knowledge
• Client Relationship Management
• Sales Experience

Hard Skills

• Investment Strategy Development
• Financial Goal Assessment
• Client Profiling
• KYC Procedures
• Salesforce Documentation

Soft Skills

• Interpersonal Skills
• Relationship Building
• Effective Communication
• Team Collaboration
• Goal Orientation

Certifications & Qualifications

• Series 7 License
• Series 66 License
• SAFE Act Registration

Industry Keywords

• High-Net-Worth Clients
• Financial Services
• Investment Products
• Business Development
• Prospecting

Tools & Technologies

• Microsoft Word
• Microsoft PowerPoint
• Microsoft Excel