Financial AdvisorIn this pivotal role, the Financial Advisor will be responsible for overseeing the investment strategies for their diverse client base. This results-driven role will be responsible for designing and executing tailored investment strategies that meet the customized financial goals of clients, and will also provide a complete and holistic approach to financial planning.The Financial Advisor is an experienced member of the Moors & Cabot team with a mission to competitively deliver the highest quality service to clients in order to help them achieve their financial goals. This role is a valuable partner in the success of the branch and the overall firm. The Financial Advisors of Moors & Cabot exhibit all of Moors & Cabot's core values - Integrity, Service is Personal, One Team, Communication and Initiative - in all of the responsibilities listed below.This full-time role reports to their respective Branch Manager. Standard business hours at Moors & Cabot are Monday - Friday 8:30 AM to 5:00 PM EST. Moors & Cabot offers multiple flexible work arrangements for its employees: remote, hybrid and in-office.
The role is eligible for any of these arrangements depending on proximity to a branch and needs, and must be located within the state of Arizona.Role ResponsibilitiesDevelop and implement financial planning solutions for clients and perform complex research and financial analysis related to those solutionsBuild, maintain, and update client databases and financial plansPerform research for client portfolios using various software toolsStay current and informed by researching investment products and market trendsUtilize MoneyGuidePro in analyzing, drafting, and implementing financial plans based on client needsProvide strategic advice and manage money to reflect client risk tolerance, income, expenses, and assetsContinuously monitor clients' financial situations with detail and accuracy by monitoring portfolio transactions and addressing client portfolio inquiriesMaintain and cultivate client relationships via approved mediums of communicationCreate and prepare detailed portfolio reviews, security analysis, and client delivery presentations for meetingsDocument and execute money moves - trades, deposits, ACH, wires, withdrawals, rollovers, etc.Cultivate relationships with wholesalersUtilize marketing and established business plans to increase book of businessPlan networking opportunities to foster client opportunitiesMaintain working relationships with other business functions to ensure seamless business practices and troubleshoot problems when they ariseSet performance expectations and goals for assigned Client Associate(s) in conjunction with the Branch ManagerProvide feedback and mentorship to assigned Client Associate(s) on a regular basisAdhere to and keep up to date on Compliance and firm policiesEnsure and maintain good standing with all FINRA/SEC rules and regulations including licensure and continuing education requirementsKeep up-to-date with the latest tax regulations and industry trendsBe an active culture carrier and contribute to a positive team moraleKey MeasurementsAbility to meet annual production/revenue goalsMaintenance and growth of client relationships and book of businessAdherence to and limiting compliance risk and liabilityOverall success and satisfaction of team, as applicableMinimum Requirements7+ years of relevant experience within Financial ServicesPortable book of businessFINRA SIE, Series 7 and 66 (63/65)Bachelor's Degree or higher in Business, Finance, or related fieldA passion for financial marketsStrong understanding of financial planning, portfolio management, and fiduciary investing conceptsPrior experience with Financial Planning softwareConfident in using Microsoft Office Suite and Google Suite applicationsComfortable taking initiative and being part of a team environmentAbility to sit for long periods of time and lift up to 10 poundsPreferred RequirementsExperience with RBC, AOS, Nexus Trading, RedTail, RedOak, Wealthbox, Addepar, RightCapital, RiskAlyze, and MoneyGuideProSince its founding in 1890, Moors & Cabot and its people have defined the meaning of financial services. The firm has participated in the retail sale of stocks and bonds to individuals and the institutional sale of stocks and bonds to most of Boston's money management firms. In addition to specializing in wealth management through full service registered representatives, Moors & Cabot offers investors additional investment tools such as cash management accounts, retirement planning, mutual funds, annuities and other insurance products.Moors & Cabot is an equal opportunity employer. All aspects of employment including the decision to hire, promote, discipline, or discharge, will be based on merit, competence, performance, and business needs. We do not discriminate on the basis of race, color, religion, marital status, age, national origin, ancestry, physical or mental disability, medical condition, pregnancy, genetic information, gender, sexual orientation, gender identity or expression, veteran status, or any other status protected under federal, state, or local law.We utilize the Department of Homeland Security's employee authorization program, E-Verify. E-Verify confirms employment eligibility by comparing the employee's Form I-9 information entered in E-Verify by the employer with the information in records available to SSA and/or DHS.BenefitsTotal Rewards Benefits Package:Medical, Dental & VisionShort Term Disability & Long Term Disability, Employer paid Life Insurance, and optional Supplemental Life insurance for employee, spouse, and dependents401k plansFlexible Spending AccountsCritical Illness & Accident insuranceEmployee Discount ProgramsEmployee Assistance ProgramsIdentity Theft Protection InsurancePTO: UnlimitedFlexible Work Schedule