Financial Advisor – Merrill Advisor Development Program

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Newport Beach (CA)

On-site

USD 85,000 - 150,000

Full time

4 days ago

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Job summary

Merrill in Newport Beach is seeking an experienced Financial Advisor to manage a book of high-net-worth clients, assess needs, and deliver comprehensive investment recommendations. You will build relationships, source new prospects, and collaborate with internal specialists to serve client accounts.

The role emphasizes growth through referrals, strong communication, and adherence to regulatory requirements, with licensing (Series 7/66 or 63/65) and SAFE Act registration essential.

Qualifications

Bachelor's degree or higher in a related field.
Series 7 and 66 licenses are required or Series 63/65 in lieu of 66.
Minimum of one year in investments or financial services sales.
Strong interpersonal and relationship-building skills.
Effective written and verbal communication abilities.
Ability to listen, assess needs, and tailor investment solutions.
Must complete SAFE Act registration and be in good standing.

Responsibilities

Work with high-net-worth clients and prospects.
Identify client needs and develop relationships.
Review investment and financial goals.
Prepare and deliver comprehensive investment recommendations.
Develop a book of business to meet performance goals.
Source prospective clients and capitalize on referrals.
Refer customers to internal specialists.
Execute customized solutions aligned with client objectives.
Balance growth, referrals, follow-up, and compliance.
Organize and manage time, people, and budget.
Seek specialist expertise for planning strategies.
Complete mandated training and continuing education.
Handle inbound inquiries regarding Merrill offerings.
Position Merrill and Bank of America capabilities.
Collect client data and follow KYC procedures to open accounts.
Serve as interim Financial Advisor and service client accounts.
Document interactions accurately in Salesforce.
Collaborate with Merrill Advisor Teams and partners.

Skills

Series 7 License

Series 66 License

Investment Product Knowledge

Client Relationship Management

Sales Experience

Communication Skills

KYC Procedures

Education

Bachelor's degree

High School Diploma / GED

SAFE Act Registration

Tools

Salesforce

Microsoft Word

Microsoft PowerPoint

Microsoft Excel

Job description

Work with high-net-worth clients and prospects
Identify client needs and develop relationships
Review investment and financial goals
Prepare and deliver comprehensive investment recommendations
Develop a book of business to meet and exceed performance hurdles
Source prospective clients, capitalize on referrals, and assess customer needs
Refer customers to appropriate internal specialists
Execute customized solutions aligned with client objectives
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 professional development
Organize and manage time, people, and budget to run a productive practice
Seek specialist expertise to identify planning and investment strategies
Complete mandated training, assessments, performance goals, and continuing education
Handle inbound inquiries regarding Merrill offerings
Position Merrill and Bank of America capabilities
Collect client profile data and follow 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
Collaborate with core banking 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 in the financial services 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
Effective written and verbal communication skills
Ability to listen and probe for clarity and understanding, assess needs, and recommend appropriate solutions
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 prospecting and networking
Ability to work where the majority of compensation is tied to performance
Computer and technical literacy
Proficiency in Microsoft Word, PowerPoint, and Excel
Bachelor’s degree and/or a minimum of one year of financial services industry or sales experience (desired)
Minimum education requirement: High School Diploma / GED / Secondary School or equivalent
Must complete SAFE Act registration and required background check
Must maintain SAFE Act registration in good standing
Subject to applicable FDIC, SAFE Act, Loan Originators, and FINRA hiring restrictions

Core Competencies

Demonstrates expertise in client relationship management, investment product knowledge, and financial services sales. Proficient in executing customized investment solutions and maintaining compliance with regulatory requirements.

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