Lead Financial Advisor

Strategic Wealth Designers; Seattle (WA); On-site; USD 100,000 - 110,000; Full time

Job summary

A leading financial services firm in Seattle is looking for a Referral-based Lead Financial Advisor to join their team. The ideal candidate will engage with existing clients, perform quality control, and create financial strategies tailored to client needs. Strong communication and organizational skills, alongside relevant licensing and financial service experience, are required. The position offers a starting salary of $100,000 to $110,000, transitioning to a commission structure that can lead to total compensation of up to $200,000.

Qualifications

• 2-7 years in financial services offering investment management and insurance services.
• Experience and proficiency in cold calling.
• Ability to work independently with good time management.

Responsibilities

• Conduct scheduled review meetings with existing clients.
• Perform quality-control evaluations to confirm client financial plans.
• Contact referred leads promptly and schedule initial discovery meetings.
• Document all client interactions in CRM systems.
• Meet production targets that impact overall company revenue goals.

Skills

Strong organizational skills

Excellent communication skills

Proactive mentality

Experience with CRM software

Proficiency in cold calling

Education

4-year degree in Accounting, Finance, or related field

Series 65 or 7/66 with Life & Health Licenses

Tools

MS Office

Job description

Nearly 23 years ago, 23-year-old Matthew Dicken grew frustrated with the issues plaguing the financial services industry and set out on a mission to change the industry standard and prioritize clients in retirement planning. What started as a small two-person team in a 1,200 sqft office in Louisville, KY, has evolved into the Strategic Wealth Designers we now know, with 18 locations across the U.S. and almost 100 employees. As we continue to grow, we're looking for passionate individuals to help take us to even greater heights.

At Strategic Wealth Designers (SWD), we are a full-service financial firm specializing in assisting individuals who are near or in retirement. We pride ourselves on fostering a collaborative and close-knit environment, and we are looking for a new team member who can complement our team’s values and culture.

We’re seeking an experienced, patient, organized, and efficient individual who is excited to contribute to the success of our business. The right person will exceed expectations and develop strong, lasting working relationships with our growing team. If you bring a positive attitude to work each day and are motivated by personal and professional growth, we would love to hear from you.

Job Description

Lead Advisors in a marketplace interact primarily with new and prospective regional client base to assess their personal financial situation and build strategies to resolve retirement planning issues regarding market risk, excessive fees and inadequate advice from other advisors.

The Referral-based Lead Financial Advisor will focus on meeting with existing clients to perform quality-control check-ins, to ensure client satisfaction, identify opportunities for enhanced service and request referrals. They will also be responsible for conducting discovery meetings, financial assessments and onboarding appointments with referral leads generated through these client interactions.

The ideal candidate is a polished communicator, experienced financial professional and proactive problem solver with a passion for building strong client relationships and driving growth through trust and service excellence.

Responsibilities/Tasks

The Referral-based Lead Financial Advisor will serve as the face to our existing client base across our markets and the primary onboarding conduit for new clients to build financial strategies designed to help them achieve their goals. They will be expected to follow-through consistently in all efforts, build relationships with prospects, clients, and help service staff prepare for client appointments. Other daily, weekly, and/or monthly tasks may include:

Client Engagement & Quality Control

• Conduct scheduled review meetings with existing clients to assess satisfaction and ensure they are receiving exceptional service.
• Perform quality-control evaluations to confirm client financial plans, account setups, and service levels meet company standards.
• Identify additional planning needs, service gaps, or opportunities for deeper engagement.
• Build rapport and trust to strengthen long-term client relationships.
• Professionally and confidently request referrals as part of the structured client meeting process.
• Educate clients on the referral program and communicate the value proposition for referred individuals.
• Track referral activity and maintain accurate records of sources, follow-up actions, and outcomes.

Lead Follow-Up & New Client Acquisition

• Contact referred leads promptly and schedule initial discovery or consultation meetings.
• Conduct initial meetings to understand each prospect’s financial situation, goals, and challenges.
• Present tailored financial solutions, products, and services aligned with company offerings.
• Guide new clients through the full onboarding process, ensuring a seamless and high-quality experience.

Reporting & Performance Tracking

• Document all client interactions, referrals, and follow-up activities in CRM systems.
• Provide regular updates to leadership on referral pipeline progress, conversion rates, and client satisfaction metrics.
• Meet or exceed established performance goals related to client outreach, referral generation, and new business development.
• Review existing Annuity, Life, Long Term Care and/or Disability insurance policies to determine if they still meet client needs
• Interact professionally with clients by phone and/or in person to update the client’s profile and financial situation/needs
• Complete appointment dictations and keep CRM updated by entering detailed notes
• Meets production targets that impact overall company revenue goals.
• Assist with client onboarding process
• Additional tasks as assigned by management
• 4-year degree in Accounting, Finance, or related field
• Series 65 or 7/66 with Life & Health Licenses
• 2-7 years in financial services offering investment management and insurance services
• Experience and proficiency in cold calling
• Strong experience with MS Office and the ability to learn new software quickly
• Excellent written and verbal communications skills both in person and via phone
• Proactive mentality, positive attitude, and consistent follow through
• Highly intelligent, strong organizational skills and attention to detail
• Ability to work independently with good time management and critical thinking skills

Additional preferred skills

• Experience with CRM software
• 2+ years working in a fast-paced office environment

Commitment

Monday–Friday, 8:00 AM – 5:00 PM (40 hours per week)

Compensation

This role begins with a base salary between $100,000 and $110,000. After the initial salary period, the position transitions to a full-commission structure.

The commission structure includes payouts for new assets brought to the firm, including assets under management, annuities, insurance, and private equity products. While actual earnings vary based on individual performance, candidates can reasonably expect total annual compensation in the range of $100,000 to $200,000, with the potential to earn more.

Want to know what we are like?

Find out more about who we are by visiting SWDGroup.com/Careers