Financial Advisor Entry Level

Overview

This role involves serving as an Investment Advisor Representative (IAR) helping individuals, families, and business owners make confident financial decisions throughout each stage of life. The organization provides access to a fee-based planning platform and comprehensive investment solutions, along with flexibility to build a practice aligned with your professional brand and philosophy.

Responsibilities

• Help clients make informed financial decisions across all aspects of their financial lives.
• Lead a planning process built around seven core pillars:
  • Cash Flow & Wealth Management
  • Retirement Planning
  • Tax-Efficient Planning Strategies
  • Estate & Legacy Planning
  • Investment Strategy & Portfolio Management
  • Risk Management & Asset Protection
  • Business Planning & Succession Strategies
• Work closely with clients to:
  • Develop comprehensive financial plans tailored to client goals and values.
  • Create coordinated strategies integrating investments, taxes, insurance, retirement, and estate considerations.
  • Guide clients through major financial decisions with proactive advice and ongoing planning.
  • Build and maintain long-term relationships based on trust, education, and accountability.
  • Collaborate with specialists to provide sophisticated planning solutions when appropriate.
• Stay current on market trends, tax law changes, and financial planning strategies.

Qualifications

Required qualifications include:

• FINRA Series 7 and Series 66 (or Series 63 & 65)
• Life & Health Insurance Licenses
• Strong interpersonal and relationship-building skills
• Analytical mindset with the ability to simplify complex financial concepts
• Self-motivated approach with excellent communication and organizational skills

Additional requirements/notes:

• IARs affiliated with the organization must also be contracted as agents with New York Life.
• Qualifications requirements include but are not limited to applicable FINRA general securities, agent state law, investment advisory licenses, compliance history, production standards, and required training. Requirements are subject to change.

Preferred Qualifications

• Not specified.

Compensation & Benefits

• Bonus based on performance.
• Agents who are also IARs may earn income from both commission-based products and fees generated through managed accounts and financial planning services.

Benefits (offered to eligible agents):

• Medical, Dental & Vision Insurance
• 401(k)
• Pension Plan
• Life Insurance and Long-Term Disability Insurance

Other items mentioned:

• Company parties
• Opportunity for advancement
• Training & development
• Flexible schedule

Important contract/eligibility details included in the posting:

• Agents operating under an Introductory (PTAS) Contract who fail to sell enough to trigger a full-time agent contract will be paid first year commissions on any sales made in a lump sum at the end of their PTAS Contract period.
• Introductory (PTAS) Contract: up to six months of a preview period as an independent contractor while continuing to work at your current job, with limited exceptions. Sales during the preview period accrue until you either make enough sales to become a full-time agent under a Training Allowance Subsidy (TAS) Contract or until six months, whichever is earlier.
• If you do not become a full-time agent, first year commissions on sales made are paid to you at the end of six months.
• If you become a full-time agent under a TAS Contract, you will be credited with the commissions you accrued under the Introductory Contract.
• Agents operating under an Introductory (PTAS) Contract are not eligible for benefits.
• Eligibility and benefits are determined by the applicable plan documents.

Location

Flexible work from home options available.

The role is associated with the Chicago North Shore General Office area (Chicago North Shore, Illinois implied by the posting).