Noviam Investment Advisor (Licensed -New York )

Noviam; New York (NY); On-site; USD 60,000 - 80,000; Full time

Benefits offered by this job

Health and dental insurance

PTO plus holidays

Sponsored Series 66 exam

Continuing education and licensing

Mentorship and team collaboration

Path to Investment Advisor Rep

Job summary

Noviam is seeking an Investment Advisor in New York to service an established client book and grow your own pipeline. You’ll work five days a week in the office, operating under a Lead Advisor with a strong emphasis on client reviews and education funding, retirement planning, and distribution strategies.

The role focuses on building a personal client book while advancing through licensing and designations, with a 70/30 mix of service and growth early on.

Qualifications

• At least 2 years of professional experience in financial services: investment advisory, wealth management, brokerage, or retirement planning, in a client-facing or client-support capacity.
• SIE required. Securities Industry Essentials exam passed.
• Series 7 required. Active registration, or eligible for reinstatement under FINRA's Maintaining Qualifications Program.

Responsibilities

• Lead client progress reviews with a Lead Advisor until you no longer need one.
• Build your own pipeline through referrals, introductions, seminars, and community engagement.
• Own the meeting cycle: prepare agendas, follow-up, and track next steps for every relationship.
• Coordinate with custodians on account opening, transfers, and maintenance; process service paperwork accurately.
• Keep records clean in CRM and planning software.
• Communicate proactively so clients never have to chase you for an answer.
• Translate strategy into plain English: explain recommendations and trade-offs given risk tolerance.
• Show up for the team: attend meetings, seminars, and networking events.

Skills

Client service mindset

Communication

Organization

Education

Bachelor's degree

Tools

CRM software

Financial planning software

Job description

Noviam Investment Advisor (Licensed -New York )

About Noviam Inc.

Noviam exists to build careers, not just fill roles. We're AI-forward and people-first: every stage of our program is designed around the individual, prioritizing access, real opportunity and long-term success. We champion untapped and underrepresented talent and equip the next generation to lead in a tech-enabled industry.

Investment Analyst

You already know the industry. What you may not have yet is a book of your own.

Most advisory seats hand you someone else's clients and call it a career. This one offers a process and a pathway to grow your own book of business, with your licensing, continuing education, and designations treated as the firm's investment rather than your expense.

At a glance

Location

New York, NY — in-office, five days a week

Experience

0–2 years in financial services

Required licenses

SIE and Series 7

The role

As a Noviam Investment Advisor, you work alongside a Lead Advisor, service an established book of client relationships, and take on more every quarter, leading client reviews, building pipeline, then carrying your own relationships. The work is real from week one: retirement income, education funding, distribution strategy, the decisions that determine whether a family sleeps at night.

The mix:

roughly 70% servicing the existing book, 30% growth at the start, shifting toward growth as you ramp and your own relationships accumulate.

These are hard requirements. We review every application that meets them.

Experience

At least 2 years of professional experience in financial services: investment advisory, wealth management, brokerage, or retirement planning, in a client-facing or client-support capacity.

SIE

Required. Securities Industry Essentials exam passed.

Series 7

Required. Active registration, or eligible for reinstatement under FINRA's Maintaining Qualifications Program. Please include your CRD number when you apply.

Series 66

Not required to apply. Sponsored and to be earned within 90 days of hire. Already hold the Series 66, or the 63/65 pair? You skip this step.

Education

Bachelor's degree, or equivalent skills and work experience.

Location

In-office, New York, NY, five days a week. This role is not remote or hybrid.

Authorization to work in the United States

Authorization to work in the United States and a clean regulatory record. U4 disclosures reviewed case by case.

What you'll do

• Lead client progress reviews, with a Lead Advisor alongside you until you no longer need one.
• Build your own pipeline. Referrals, introductions, seminars, community engagement are the foundation of the book you'll own.
• Own the meeting cycle. Prepare agendas and materials, run the follow-up, track every relationship's next step so nothing falls through.
• Coordinate with custodians on account opening, transfers, and maintenance, and process service paperwork accurately from start to finish.
• Keep records clean. Detailed, current, and compliant data in CRM and planning software.
• Communicate proactively, so clients never have to chase you for an answer.
• Translate strategy into plain English. The recommendation, the trade-offs, and how their risk tolerance shaped both.
• Show up for the team. Team meetings, seminars, networking events, continuing education.
• Follow our processes — and tell us where they're wrong.

The Noviam pathway

1. Onboard

Platform, products, client protocols, and compliance expectations, built around real client scenarios. Shadowing and joint work from the first week.

2. Register

Series 66 preparation with subject-matter-expert instruction, timed practice exams, and clear readiness gates. Sponsored end-to-end: fees, materials, study time.

3. Ramp

You take client reviews with your Lead Advisor, then without. Hands-on coaching, joint work, and honest feedback from people who have built books themselves.

4. Build

Transition to a fully registered Investment Advisor Representative with your own client relationships, the firm's support behind you, and a mentor in your corner.

5. Lead

Our strongest advisors mentor new analysts, then build and run teams of their own as the firm grows. We promote from within: the people who help build the books are the ones who end up running them.

What's in it for you

• Base salary of $60,000 – $80,000 plus performance bonus
• Sponsored Series 66 exam fees, materials, and study support
• Continuing education and licensing maintenance covered
• Support to pursue CFP® and ChFC®
• Health and dental insurance
• PTO plus all holidays off
• Mentorship and joint work with top performers
• A defined path to Investment Advisor Representative, with upside that grows with your own book

What else we look for

• Strong organization, communication, and follow-through are the three things that separate advisors who keep clients from advisors who lose them
• A client-service mindset and genuine coachability, however much experience you arrive with
• Comfort in a structured, fast-paced, accountable environment
• Experience with CRM and financial planning software
• Prior client-facing experience in a fee-based or hybrid advisory practice (a plus, not a requirement)

Our culture

High-energy and team-first. We work hard, move quickly, and back each other. The people who thrive here share six traits: professionalism, follow-through, positivity, accountability, a growth mindset, and a genuine commitment to taking care of people.

This role is not a fit if…

• You want remote or hybrid. This is five days a week in our New York office.
• You don't hold the SIE and Series 7. If you're early-career and unlicensed, ask about our sponsored entry-level program instead — it exists for exactly that.
• You want to service only, and never prospect. Growth is part of the seat from day one.
• Organization and follow-through aren't your strengths.
• You'd rather not be coached, measured, or held to a process.
• You're looking for a short-term position.
• A fast-paced office environment isn't for you.

Interested?

Applications are welcome at any time — there's no deadline, because we stay open to exceptional people whenever they're ready.

Noviam is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, veteran status, or any other protected characteristic.