Senior Financial Advisor

Summary of Role:

To provide financial services to members of affiliated credit unions and/or outside clientele for Broadview’s Western Region. Responsible for converting any prospects to Broadview clients. 

Work proactively to develop and grow the Wealth Management group for Broadview. 

Essential Job Functions/Responsibilities:

• Provide financial planning and related products/services to members/clients from the approved service offerings of Broadview Wealth Management thru LPL Financial. 

• Serve as mentor to Advisory team.

• Develop and cultivate relationships with potential Wealth Management Clients through COI’s, CU Lines of Business, affiliations, events, and other networking opportunities.

• Represent Broadview Wealth Management at CU and outside events.

• Assist with clients referred by Credit Union employees and Broadview operations team as needed. 

• Meet or exceed activity levels – prospecting activities, client appointments, and financial plans.

• Grow Managed Book of Business by meeting new and net new asset goals as well as revenue growth goals.

• Perform formal presentations of Broadview services to credit union staff, SEGs, clients, and potential affiliated credit unions. 

• Understand compliance requirements at the highest level with Compliance Officer, to insure there is no risk to the advisor or the firm.

• Perform regular and accurate record keeping of transactions. 

• Maintain confidentiality of client files. 

• Perform other duties or special projects as assigned or required. 

• Complete and pass courses as recommended by the CIO, Director of Advisory Services, and/or licensing authorities. 

Minimum Qualifications:

• Preferred college degree with 7 or more years of related experience. Licenses required: NYS Life Insurance, NYS Accident & Health Insurance, Series 7,  6 and 63, or 66

• Work towards obtaining advanced financial designation. 

• Mathematical Acumen.

• Computer skills, including proficiency in MS Excel. 

• Excellent communication, presentation, and interpersonal skills.

• Strong organizational skills.