Lead Financial Advisor

1 month ago

Toledo, United States Northwestern Mutual Full time

Lead Financial Advisor 

The Gary Kaufmann Wealth Management Firm, a rapidly growing Northwestern Mutual Group based in Toledo, Ohio,  is seeking an Entity Advisor who can contribute to client growth and service existing clients through excellent financial planning and prospecting skills. Gary Kaufman Wealth Management team members are ambitious, dependable, resourceful, and proactive. Our highest goal is to deliver a superior experience to our existing and prospective clients by providing a financial blueprint that will configure what they need to do today to achieve their goals tomorrow. The Entity Advisor will play an integral role in this vision. 

Note regarding work setting: This is an onsite role. The address is 148 N Summit Street Toledo, OH 43604 

Responsibilities: 

Client Acquisition: 

  • Work on an existing book of business 
  • Maintain a full schedule of client meetings and strong pipeline of prospects 
  • Obtain additional Assets Under Management (AUM) for the firm 
  • Build and continuously foster a strong network of prospective clients through referrals, participation in events, and consistent outreach.  

Financial Planning Meeting Execution: 

  • Conduct thorough discovery meetings to understand clients' financial goals, risk tolerance, and current financial situation. 
  • Present a complete financial plan that consists of life insurance, college education, retirement, asset allocation, Monte Carlo simulation, and estate planning analyses. 
  • Recommend suitable insurance and investment strategies to help clients achieve their goals and plan for retirement and optimal tax positions utilizing associated client deliverables (investment proposals, asset allocation models, fact sheets, 529 comparisons, single fund solutions, alternatives (PE, HF), VUL/VA illustrations with asset allocations, insurance illustrations (Life, DI, LTC) and donor advised funds) 
  • Execute review meetings with existing clients to update financial plans, make additional recommendations, and educate them on their financial situation. 

Additional Responsibilities: 

  • Prepare financial planning proposals by utilizing proprietary financial planning software (Px) 
  • Collaborate with supporting members of the team to ensure investment and insurance paperwork is processed in a timely fashion 
  • Ongoing monitoring of existing portfolios to assess fees, potential dislocation of asset classes, rebalancing, and identifying tax loss harvesting strategies, etc. 
  • Maintain full investment licensure, monitor financial markets, economic trends, and industry developments, and stay informed about financial regulations to ensure compliance with organizational requirements. 
  • Execute concierge service to all clients, strong communication and relationship building 
  • Employ excellent verbal and written communication with team members, prospective clients, and clients. 

Growth Opportunity: 

With strong performance and desire, this role could grow into a leadership position. 

Qualifications 

  • Bachelor’s Degree, required (finance, business, or economic major preferred) 
  • 3+ years’ experience in financial services planning/ selling, required 
  • Series 7 & 63, required 
  • Life and Health license, preferred 
  • CFP Designation, preferred (must be achieved within 18 months of employment start date) 
  • Proficiency in Outlook, Zoom, Adobe Pro Acrobat, Excel, Word tables, required 
  • Must be adept in technology and able to learn new software quickly 

Compensation and Benefits 

  • Base Salary: $50k-$75k (commensurate with experience and licensing) 
  • Variable compensation (based on new net AUM) paid out quarterly (Estimated additional 50k-75k) 
  • Medical, Dental, Vision Insurance 
  • Short-Term Disability Insurance and Group Life Insurance 
  • Retirement Plan 
  • Paid time Off 
  • Ongoing industry education, licensing, & credentialing encouraged and paid for by employer 
  • Performance based bonus structure 

About Northwestern Mutual 

  • Unsurpassed Financial Strength, Financial Ratings the highest in any industry 
  • Fortune’s 2022 Worlds Most Admired Companies, #1 in our class 
  • Top 5 Independent Broker-Dealer 
  • Ranked 97 on the esteemed 2020 FORTUNE 500 list 
  • $400 million donated through the NM Foundation 
  • 455,000 hours donated toward Children’s Cancer Research 
  • Countless volunteer hours toward initiatives 
  • A culture that promotes diversity, teamwork, work/life balance, recognition, and rewards 

Competencies 

Strong Interpersonal Communication - Relates well to all kinds of people. Navigates critical conversations with diplomacy and tact. Demonstrates professional written and verbal communication. Gains trust. Provides excellent relational service and strategy to serve clients well for a lifetime. 

Attention to Detail - Pays close attention to all the small particulars when working on tasks or projects. Completes assignments as flawlessly as possible before moving to the next task. Submits projects with high quality and little to no errors. 

Urgency - Takes swift action. Operates well in a fast-paced environment. Anticipates client needs and actively reaches out with solutions. 

Prioritization - Spends his/her time and the time of others on what is most important and effective. Understands how to use time strategically and set aside distractions. Eliminates roadblocks. Creates focus with self and team. 

Analytical Thinking - Is comfortable utilizing investment data analysis software and is energized by providing thinking critically to put together unique and strong investment strategies for our clients 

  • Confidentiality - Keeps personal, managerial, and organizational information safe. Does not gossip. Is trustworthy. Keeps information about individuals, the group, and organization private. 

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