Broker Dealer Financial Advisor

Allworth Financial (www.allworthfinancial.com) is an independent investment financial advisory firm that specializes in retirement planning, investment advising, and 401(k) management with a direct approach to financial planning. Allworth Financial delivers long- and short-term investment planning solutions and advice to help clients achieve their goals and plan strategically for retirement.

Allworth Financial is a high growth, private equity backed, multi branch Registered Investment Advisor. Founded in Sacramento, California, in 1993 Allworth is primarily a fee-based, employee-centric fiduciary advisory firm, that prides itself on emphasizing client well-being and education. The business is a multi-billion dollar firm and is on track for continued growth through both acquisitions and strong organic growth. Allworth is considered a great place to work and was once again given the prestigious “Circle of Excellence” award by the National Business Research Institute for employee and client satisfaction in 2021, placing it among the best-loved brands in America. Allworth Financial was also recognized as a Barron's Top 40 RIA in 2022.

SUMMARY:

We are looking for motivated Financial Advisor with extensive knowledge of broker-dealer industry products including 529 plans, mutual funds, variable annuities, and indexed-linked annuities to join our winning team, providing ongoing service and advice to our broker-dealer only clients as well as collaborate and assist other Allworth Advisers with client’s broker dealer accounts.  In addition, where appropriate from a fiduciary view, this person will assist in the transfer of these products to fee based RIA products and platform.

DUTIES AND RESPONSIBILITIES:

• Meet with current clients to listen to needs and concerns, collect suitability, objectives, explain how their investments work, and determine if it is in the client’s best interest to maintain or convert to an advisory product or platform.
• Collaborate with other Advisors, Financial Planning Team and/or Director of Insurance to establish relationships, review and provide consultation, analysis, or recommendations on broker dealer accounts and annuities
• Review plan with clients regularly to enable Allworth to fulfill its fiduciary mission in planning and investment management
• Work with clients and the Financial Planning Team to create plans for clients
• Communicate updates from Investment Management Team to clients as needed, answer questions regarding allocation, methodology, etc.
• Refer suitable client tax, estate, and insurance situations to Integrated Services team, or trusted 3rd party providers
• Update client records by dictating notes and follow-up activities in a highly customized CRM system that all team members rely on as a single source of client info
• Occasionally work with other clients on the above if assigned advisor is unavailable
• Provide clear and honest feedback to leadership about improving the Allworth experience
• Actively participates in continuous improvement by fully engaging in team meetings, generating suggestions, following appropriate procedures and work principles, participating in problem solving activities, and using continuous improvement tools to support the work of the team.
• Work with the Financial Services Team and staff on various projects as needed

QUALIFICATIONS:

• Minimum 5 to 7 years of client-facing wealth management or financial services experience
• BA/BS or Masters degree
• FINRA Series SIE, 6 or 7, and 63 are required
• State Insurance License for Annuities is required
• Professional designation of Certified Financial Planner (CFP®) or Chartered Financial Consultant (ChFC®) is preferred
• Strong communication, presentation, listening, and analytical skills
• Comfort with technology is a must, experience with specific tools is a plus
• MoneyGuidePro, Salesforce, Zoom or similar
• Self-starter with the ability to work independently
• Familiarity with a Client Relationship Management database program
• Proficiency in a Windows/PC based work environment, specifically MS Office

This position pays a base pay plus variable compensation.  Base is between $100-140K depending on experience and VC can add another $25-60K depending on performance.  

BENEFITS

We value our associates’ time and effort. Our commitment to your success is enhanced by our competitive base pay and an extensive benefits package, including:

• Medical: Blue Shield (HMO, PPOs and HDHP with HSA) plans and Kaiser (HMO) plans for California associates
• Dental insurance with MetLife
• Vision insurance with VSP
• Optional supplem