Financial Advisor

Financial Advisor - Hauppauge, NY Work Location: Hauppauge, New York, United States of America Hours: 40 hours per week Pay Details: $72,280 - $108,160 USD annually Line of Business: TD Wealth Job Description The Financial Advisor (FA) role is a three‑year program with a forgivable draw. FAs provide financial‑planning guidance and sell investment‑management solutions. They leverage their experience to service the unique, complex needs of TD Wealth clients by reviewing financial goals and making investment recommendations aligned with clients’ goals. The role serves as the central point of contact, responsible for providing client service and developing the relationship to achieve greater share of wallet by helping clients achieve asset‑accumulation, preservation, growth, and protection objectives. Depth & Scope Experience selling investments and providing financial plans Demonstrates a commitment to being customer‑centric by delivering legendary service during every customer interaction to maximize retention and growth Ensures all new clients receive a complete onboarding experience, including a thorough client discovery, completion of a financial needs analysis, an introduction to the centralized client‑servicing team, and completion of all requisite client documents Ability to partner and promote lead generation Manages goals, prioritizes tasks and works comfortably in a fast‑paced environment Ensures all new and existing clients receive a planning experience Effectively implements a process to ensure every client receives an Annual Client Review (ACR) meeting with an enhanced agenda focused on the client’s overall wealth needs and proactive contacts Serves as the primary point of contact for TD Wealth client relationships; manages all aspects of the client’s relationships with TD Bank and refers to Retail and Wealth partners & affiliate as needed Implements and executes a differentiated service model/experience for TD Wealth clients Meets quarterly and annual sales goals Deepens wallet share by anticipating client needs and suggesting the most appropriate wealth solutions while maximizing profitability and providing an exceptional client experience Identifies opportunities within your portfolio and network to refer business to Retail and Small Business/Commercial Partners Executes in a compliant manner that is regulatory‑prudent (regulations, policies, procedures) Adheres to all federal, state, SRO regulations and firm policies (e.g., OCC, SEC, NYDFS) Ensures all continuing education requirements are met Responsible for understanding and adhering to TD Bank & TD Wealth policies and procedures Responsible for implementing TD’s Customer Identification Program by collecting required customer identification information and performing due‑diligence requirements Uncovers client assets and transitions higher‑threshold clients to appropriate HNW Wealth partners as needed Fosters and contributes to a positive and constructive work environment that supports the overall Wealth team Provides coaching, wealth‑referral training & ongoing feedback to Retail and Small Business staff Contributes individually, as a team member and mentor to new FAs, to ensure strong performance, collaboration, and enthusiasm Represents TD Wealth to the public in a professional manner Is involved in community and supports TDBG charity and community initiatives Education & Experience Bachelor’s degree strongly preferred 2+ years of advice, planning, and investment sales experience Required: SIE, Series 7, Series 63, and L&H & Series 66 (or equivalent) or ability to obtain within the licensing schedule Advanced understanding of wealth products and services Strong verbal and written communication skills Strong organizational and time‑management skills Ability to travel within assigned market to meet prospects, clients, and partners (5 days a week) Ability to commute within assigned territory Strong understanding of wealth‑management business‑development techniques Experience interacting with retail and small‑business banking clients Consultative sales experience required Demonstrated ability to establish relationships and partner effectively with other departments Proven ability to achieve sales goals Customer Accountabilities Understand and support the bank’s Customer Service Strategy Consider the impact of decisions on the well‑being of TD, its Customers and stakeholders Provide the highest level of Customer service when dealing with internal partners, vendors or Customers—WOW at every opportunity Model quality service delivery at every interaction Lead and contribute to the ongoing improvement of the partner / Customer experience Employee/Team Accountabilities Engage in advancing and sustaining an inclusive culture that reflects TD’s diversity agenda and creates an extraordinary employee experience Participate fully as a member of the team and contribute to a positive work environment May provide leadership, training, and guidance to other team members Ensure ongoing communication with the team regarding project status, progress, and issues Actively share information and knowledge, and proactively learn from the expertise of others OCC Language Position with a FINRA member, broker and/or dealer subject to FINRA and Securities Laws; may or may not be a registered position under FINRA Eligibility for employment under standards established by FINRA, including investigation and verification requirements of FINRA Rule 3110(e) Satisfactory results on background checks, credit report check, civil litigation search, regulatory agency enforcement action search, and certifications are required by federal law Physical Requirements Never: 0%; Occasional: 1‑33%; Frequent: 34‑66%; Continuous: 67‑100% Domestic Travel – Continuous International Travel – Never Performing sedentary work – Continuous Performing multiple tasks – Continuous Operating standard office equipment – Continuous Responding quickly to sounds – Occasional Sitting – Continuous Standing – Occasional Walking – Occasional Moving safely in confined spaces – Occasional Lifting/Carrying (under 25 lbs.) – Occasional Lifting/Carrying (over 25 lbs.) – Occasional Squatting – Occasional Bending – Occasional Kneeling – Occasional Crawling – Occasional Climbing – Never Reaching overhead – Occasional Reaching forward – Occasional Pushing – Occasional Pulling – Occasional Twisting – Occasional Concentrating for long periods of time – Continuous Applying common sense to deal with problems involving standardized situations – Continuous Reading, writing and comprehending instructions – Continuous Adding, subtracting, multiplying and dividing – Continuous Who We Are TD is one of the world’s leading global financial institutions and the fifth largest bank in North America by branches/stores. Every day we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States, and around the world. More than 95 000 TD colleagues bring their skills, talent, and creativity to the bank, to those we serve, and to the economies we support. We are guided by our vision to be the best bank and our purpose to enrich the lives of our customers, communities, and colleagues. Our Total Rewards Package Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve financial, physical, and mental well‑being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well‑being benefits, savings and retirement programs, paid time off (Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Learn more. Additional Information We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home. Colleague Development If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Training & Onboarding We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role. Interview Process We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call. Accommodation TD Bank is an equal‑opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran, or any other characteristic protected under applicable federal, state, or local law. If you are an applicant with a disability and need accommodations to complete the application process, please email TD Bank US Workplace Accommodations Program at USWAPTDO@td.com. Seniority level Entry level Employment type Full‑time Job function Finance and SalesInvestment Banking #J-18808-Ljbffr