TEPHRA
Wealth Brokerage Services Financial Advisor Trainee
TEPHRA, Danville, California, United States, 94506
Description:Job Description:The Financial Advisor in Training participates in theAdvisors financial advisor training program on a fulltime basis. The Financial Advisor in Training will be fully trained and supported with the tools and resources to build an individual practice to serve as an advisor to clients, providing sound financial advice and counsel consistent with the clients goals and risk tolerance, and meet organizational revenue targets. The Financial Advisor in Training will receive training on the partnership model and partnership expectations within Wealth and with the Community Bank. Financial Advisors in Training must pass the Series 7 exam, the Series 66 (or combined 63 and 65), complete online training, participate in classroom training, pass Compliance exams on products and suitability, and complete the activity requirements of the program as preparation for becoming a full-time Financial Advisor. After the full-time structured training program has been successfully completed, team members will enter our FA Graduate Program and participate in the incentive compensation plan.Required Qualifications•1+ year of outside/inside sales or business development experience or 2+ years of entrepreneurial experience or US military experience or a BS/BA degree or higher with 6+ months of experience in financial services
Desired Qualifications
•High level of initiative and accountability•Experience developing and cultivating professional relationships•Good verbal, written, and interpersonal communication skills•Solid organizational, multi tasking, and prioritizing skills•FINRA registration including Series 7 and 66 (or FINRA recognized equivalents)•Life, Health and Variable Annuity licenses, considering state law restrictions•Sales or sales support experience•Brokerage support exposure preferably within a Advisors (WFA) Group branch•Established network in the local market
Job Expectations
•Registration for FINRA Series 7 and Series 66 (or 63 & 65) or FINRA recognized equivalents must be obtained to remain in this position.•Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position. In addition to state registration, specific product licenses or SAFE licensing may apply. will initiate financial and criminal background review process at the time of offer acceptance.•Individuals in Loan Originator (LO) positions must meet the Consumer Financial Protection Bureau qualification requirements and comply with related policies. The LO qualification requirements include meeting applicable financial responsibility, character, general financial fitness and criminal background standards. A current credit report will be used to assess your financial responsibility and credit fitness, however, a credit score is not included as part of the evaluation. Successful candidates must also meet ongoing regulatory requirements including additional screening, if necessary.
Disclaimer:All offers for employment are contingent upon the candidate having successfully completed a criminal background check
Desired Qualifications
•High level of initiative and accountability•Experience developing and cultivating professional relationships•Good verbal, written, and interpersonal communication skills•Solid organizational, multi tasking, and prioritizing skills•FINRA registration including Series 7 and 66 (or FINRA recognized equivalents)•Life, Health and Variable Annuity licenses, considering state law restrictions•Sales or sales support experience•Brokerage support exposure preferably within a Advisors (WFA) Group branch•Established network in the local market
Job Expectations
•Registration for FINRA Series 7 and Series 66 (or 63 & 65) or FINRA recognized equivalents must be obtained to remain in this position.•Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position. In addition to state registration, specific product licenses or SAFE licensing may apply. will initiate financial and criminal background review process at the time of offer acceptance.•Individuals in Loan Originator (LO) positions must meet the Consumer Financial Protection Bureau qualification requirements and comply with related policies. The LO qualification requirements include meeting applicable financial responsibility, character, general financial fitness and criminal background standards. A current credit report will be used to assess your financial responsibility and credit fitness, however, a credit score is not included as part of the evaluation. Successful candidates must also meet ongoing regulatory requirements including additional screening, if necessary.
Disclaimer:All offers for employment are contingent upon the candidate having successfully completed a criminal background check