Financial Advisor

Responsibilities

• Serve as lead advisor to new and existing clients of the firm.
• Interview clients to determine their current income, expenses, insurance coverage, tax status, financial objectives, risk tolerance, or other suitable information needed to develop a financial plan.
• Manage client relationships, providing the highest level of service and support.
• Prospect and cultivate the expansive opportunities offered by our existing referral networks and pipelines.
• Inform, educate, and solicit investment consultants who refer clients to our firm.
• Speak with clients over the phone, via email and in person at regular review meetings.
• Work with clients to develop a financial plan and create an Investment Policy Statement.
• Consult with clients about their allocations and investment strategies as they evolve over time.
• Maintain a high level of organization during a busy work day.
• Prepares Investment Policy Statement for client portfolios and reviews investment strategy decisions with the firm's Portfolio Managers.
• Prepares financial plans for existing clients using the firm’s financial planning software
• Explain to clients the financial advisor's responsibilities and the types of services to be provided.
• Contact clients periodically to determine any changes in their financial status.
• Follow all compliance procedures as outlined in the Compliance Policy and Procedures Manual.
• Respond to the Chief Compliance Officer and other compliance personnel as required/requested for completion of various compliance tasks.
• Limited travel may be required.
• Perform other related duties as required.

• Possess a true desire to help others achieve their financial goals.
• Possess strong time management and organizational skills.
• Dedicated team player with strong follow up, communication, and presentation skills.
• Being aware of others' reactions and understanding why they react as they do.
• Ability to adjust actions in relation to others' actions.

• 4+ years of relevant industry experience
  required.
• Bachelor's degree
  required.
• Minimum of 3 years experience as an Investment Adviser Representative (IAR)
  required.
• Certified Financial Planning designation is preferred but not required.
• FINRA Series 66 license preferred but not required.

Candidates local to Denver, Colorado are encouraged to apply.