Financial Advisor Associate

Stifel, Incorporated; Houston (TX); On-site; USD 60,000 - 90,000; Full time

Benefits offered by this job

Health insurance

Dental

Vision

401k

Wellness programs

Life insurance

Paid time off

Job summary

Stifel is seeking a Financial Advisor Associate to work under a Financial Advisor, delivering investment services and helping clients reach their financial goals. You will assist in prospecting new clients and stay current on industry trends.

Ideal candidates hold a Bachelor’s degree and at least 5 years in financial services or brokerage, with Series 7 and Series 63/66 (or willing to obtain within 3 months). Proficiency in Microsoft 365 and domestic travel may be required.

Qualifications

• Bachelor’s degree or equivalent education/experience.
• 5+ years in financial services or brokerage environment.
• Series 7 and Series 63/66 (or willing to obtain within 3 months).
• Proficiency with Microsoft 365 applications.

Responsibilities

• Provide investment services and help clients achieve financial goals.
• Prospect and develop new client relationships to grow the business.
• Stay current on market trends, regulations, and firm policies.
• Enter and review orders as directed by the Financial Advisor.

Skills

Client relationship building

Regulatory knowledge

Financial services industry knowledge

Microsoft 365 proficiency

Education

Bachelor’s Degree

5+ years Financial Services/Brokerage experience

Tools

Microsoft 365

Job description

Why Stifel

Stifel strives for a culture that puts its clients and associates first: a culture where everyone belongs, everyone is welcome, and everyone contributes to the success of our clients, their careers, and the firm as a whole.

Let’s talk about how you can find your place here at Stifel,where success meets success.

What You’ll Be Doing

The Financial Advisor Associate (FAA) works under a Financial Advisor (FA) to provide investment services that will help clients achieve their financial goals. The FAA will assist in prospecting new clients to grow the business and should remain current on industry trends.

What We’re Looking For

• Engage with clients and prospects to identify their financial profile and provide clients with investment services that will align with their objectives and tolerance, and will help them achieve their financial goals.
• Maintain a thorough and current understanding of client needs and goals to make suitable recommendations and implement investment strategies in the client’s best interest.
• Perform portfolio evaluations and monitor portfolio performance against client objectives.
• Collaborate with the Financial Advisor in prospecting new clients to grow the business through networking, referrals, and participation in industry related seminars and events; domestic travel may be required.
• Stay current with market trends as well as all industry rules and regulations, policies and procedures, and Firm training and continuing education.
• Review and enter all types of unsolicited orders directly from clients as well as entering all types of solicited and unsolicited orders at the direction of the Financial Advisor.
• Solicit orders to clients at the direction of the Financial Advisor.
• Identify matters that require escalation including suspicious activity, customer complaints, trading errors, and violation of industry regulation or Firm policy.
• Use independent judgement and discretion to determine the unique needs of each client.

What You’ll Bring

• Proven success in establishing rapport with clients; building and maintaining a mutually beneficial, long-term relationships.
• In-depth understanding of the Financial Services industry, domestic and international markets, and applicable regulatory environment.
• Thorough understanding of investment portfolios, products, and services and how to utilize them with individual clients.
• Integrity to perform job functions ethically within the boundaries of the regulatory environment.

Education & Experience

• Minimum Required: Bachelor’s Degree or a combination of education and experience.
• Minimum Required: 5+ years' Financial Services/Brokerage experience

Licenses & Credentials

• Minimum Preferred: Series 7 and Series 63 or 66 or must obtain with 3 months from start date.
• Note: If required by state for advisory business Series 63 and 65 or Series 66.

Systems & Technology

• Proficient in Microsoft 365.

About Stifel

Stifel is more than 130 years old and still thinking like a start-up. We are a global wealth management and investment banking firm serious about innovation and fresh ideas. Built on a simple premise of safeguarding our clients’ money as if it were our own, coined by our namesake, Herman Stifel, our success is intimately tied to our commitment to helping families, companies, and municipalities find their own success.

While our headquarters is in St. Louis, we have offices in New York, San Francisco, Baltimore, London, Frankfurt, Toronto, and more than 400 other locations. Stifel is home to approximately 9,000 individuals who are currently building their careers as financial advisors, research analysts, project managers, marketing specialists, developers, bankers, operations associates, among hundreds more. Let’s talk about how you can find your place here at Stifel, where success meets success.

At Stifel we offer an entrepreneurial environment, comprehensive benefits package to include health, dental and vision care, 401k, wellness initiatives, life insurance, and paid time off.

Stifel is an Equal Opportunity Employer.