Broker Check

Associate Wealth Advisor


The Associate Wealth Advisor will establish new client relationships in addition to providing advisory services and support to a select group of clients. With financial planning responsibility for the firm’s small to mid-size clients, the Associate Wealth Advisor has the opportunity to build an excellent business under the leadership and reputation of Triad Financial Strategies.

Responsibilities & Activities

  • Develops new client relationships.
  • Sources prospective client opportunities by capitalizing on networking and referrals.
  • Follows up on firm-generated leads.
  • Services and delivers financial planning to client base. 
  • Assists in research.
  • Assists in developing client presentations.
  • Services client needs and requirements as determined through client interaction. Proactively communicates with clients.
  • Promotes the firm’s wealth enhancement and planning services. 
  • Promotes established investment models and strategies that are suitable for our targeted clients. 
  • Adheres to all company and industry supervisory guidelines and policies.
  • Participates in required meetings, training, and continuing education requirements. 
  • Assists the Firm’s Principal Wealth Advisor as requested.
  • Performs other duties as assigned.

Industry Experience Requirements

  • At least three to five years of financial planning and/or investment advisory experience, especially working with high net worth clients.  
  • Active Series 7 and 63 licenses.
  • Active Series 65 or 66.
  • Life, Health, and LTC Licenses.
  • Clean U-4 and U-5 history.
  • Certified Financial Planner (CFP) preferred.

Knowledge, Skills, & Abilities:

  • Requires:
    • Excellent verbal, written, presentation, and interpersonal communication skills.
    • Excellent relationship management skills.
    • Superior business development skills.
    • Excellent attitude and an extraordinary client service orientation.
    • A genuine interest in serving and caring for clients.
    • Excellent organizational and time management skills.
    • A burning desire to succeed.
    • Proficiency with Microsoft Office Suite.
  • Bachelor's degree or higher strongly preferred.
  • Attendance is an essential function. 
  • Salary is commensurate with experience.