Associate Financial Advisor

4 weeks ago

Calabasas, United States Prime Capital Investment Advisors Full time

Prime Capital Investment Advisors is seeking a motivated individual looking for a long-term career with a growing company supporting our Financial Network Limited brand in the Westlake/ Calabasas area of Los Angeles, California. This is a great opportunity for someone looking to start or advance their career as a financial advisor. As an Associate Financial Advisor at Prime Capital Investment Advisors, the ideal candidate will work directly with a senior advisor on our team in all aspects of the financial planning and client service process. This includes case preparation, meeting with clients, and managing financial planning software.


Our firm’s mission is to inspire people to achieve their life’s ambitions. Each day is an opportunity to have a real impact on the lives of clients and colleagues. Prime Capital Investment Advisors, LLC is different because we believe greatness starts and ends with our people. We are proud of having created an environment where drive, enthusiasm, candor, and professionalism are encouraged, supported, and valued. Our standards are to be the very best. If you are a detail-focused, dynamic individual who thrives in a team-oriented office setting and are ready to meet the challenge of building something great, we want to hear from you.


Objectives: The Associate Advisor will be an integral part of the team and work directly with a Senior Advisor to learn all aspects of investment management and financial planning processes. This includes case preparation, meeting with clients, client communication, building, implementing, and managing financial plans, making detailed notes for each client, and learning the PCIA way of onboarding prospects and servicing our clients. An Associate Financial Advisor will also be working closely with our Client Service department to learn and build an understanding of the role they have in working with clients and advisors.


Our Standards: Our overall standard is "service excellence." Our goal is to provide the very best experience in service to our clients and advisors. As such, our Associate Financial Advisors must display:

  • Professional Expertise
  • An ability to quickly form and maintain a positive, productive relationship with advisors and their clients
  • Strong technology skills
  • An ability to learn the financial services industry and understand the objectives for the position
  • Tremendous written and oral communication skills
  • Ability to adapt quickly and positively to change in the financial services industry
  • Superior attention to detail and follow through; accuracy is extremely important
  • Excellent organizational and time-management skills; ability to successfully multitask and manage priorities effectively
  • Team player and collaborator
  • High standard of professionalism, ethics, confidentiality, and integrity
  • Willingness to be proactive


There are several key areas where Associate Advisors must demonstrate professional proficiency:

  • Financial industry terminology and account types
  • Salesforce data entry and management
  • Detailed and accurate record-keeping
  • Policy and procedures, including FINRA guidelines
  • Google Suite and calendar management
  • Microsoft Suite and Adobe
  • An interest in financial services/markets and how they work
  • Love of learning and challenges, including determination to succeed
  • Skilled in long-term relationship-building
  • Comfortable in your ability to think critically
  • Passion for new opportunities
  • Build deep, meaningful relationships with clients and develop a service model to provide solutions that support their financial goals.
  • Follow high business and professional ethics standards and legal and regulatory requirements when serving clients and prospects and performing all work-related activities.


Key Responsibilities:

  • Preparing, presenting, and implementing customized, comprehensive financial plans and portfolios
  • Providing financial planning services and technical advice to clients in all areas, including investment planning, insurance planning, tax planning, retirement planning
  • Prepare for client meetings focused on planning discussions
  • Gather and enter client data into financial planning tools
  • Perform case analysis and develop recommendations
  • Conduct and/or participate in client meetings to present recommendations/deliver advice
  • Determine the client’s risk tolerance
  • Develop portfolio/robust product solution recommendations that will fit the client’s risk tolerance and time frame
  • Run illustrations and hypotheticals
  • Develop, manage, and retain client relationships
  • Interact with high-net-worth individuals
  • Apply and communicate complex financial planning concepts based on the client’s situation
  • Coaching clients regarding planning options/products
  • Directing and overseeing plan production for client planning matters


Education/Experience

  • Financial services experience (2+ years)
  • Bachelor's Degree required
  • Licensing required: Series 65
  • Life & Health Insurance preferred
  • CFP preferred
  • Strong organization, prioritization, and management skills
  • Strong mathematical and analytical skills
  • Excellent verbal and written communication skills



Benefits:

  • Health, Dental, Vision,
  • 401(k)
  • Teladoc
  • EAP
  • Voluntary Group Life and AD&D, Aflac, and Nationwide Pet Insurance



Prime Capital Investment Advisors (“PCIA”)

Prime Capital Investment Advisors provides a client-centric team approach to full-service financial planning, including fee-based asset management and wealth management through its Prime Capital Wealth Management brand. Through its Qualified Plan Advisors brand, the firm also provides retirement plan advisory services, as well as plan participant education. PCIA currently has 70+ locations throughout the United States, with over 180 investment advisor representatives and 190+ associates serving clients across the nation. Advisory services offered through Prime Capital Investment Advisors, LLC. (“PCIA”) a Registered Investment Adviser. PCIA doing business as Qualified Plan Advisors (“QPA”) and Prime Capital Wealth Management (“PCWM”). For more information, visit www.pciawealth.com.

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