The Toronto-Dominion BankFinancial Advisor Associate - Burlington, Vermont The Toronto-Dominion BankFinancial Advisor Associate - Burlington, VermontBurlington, VTThe FAA will meet with prospects and clients to analyze their financial information, including income, cash flow, assets and liabilities, analyze and understand their short and long term financial goals, educate and advise prospects and clients regarding investment and insurance strategies and products, and recommend personalized/tailored investment and insurance strategies and products to meet their financial and wealth creation objectives. Analyzes client and prospect financial information, including income, cash flow, assets and liabilities, analyze and understand their short and long term financial, goals/objectives, and circumstances to determine appropriate investment and insurance strategies and products and provides individualized financial advice to clients regarding same.
The Toronto-Dominion BankFinancial Advisor - Burlington, VT The Toronto-Dominion BankFinancial Advisor - Burlington, VTBurlington, VT$72,280–$108,160 / yearEducation & Experience: Bachelors degree strongly preferred 2+ years of providing advice, planning and investment sales SIE, Series 7, Series 63 required Required to have L&H and Series 66 (or equivalent) or the ability to obtain all within the Licensing and Registration Schedule Self-directed, with strong ability to plan own activities to achieve sales and referral goals 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 five days a week Ability to commute within assigned territory Strong understanding of wealth management business development techniques Strong understanding and 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: Understands and supports the Banks Customer Service Strategy Considers the impact of decisions on the well-being of TD, its Customers and stakeholders Provides the highest level of Customer service when dealing with internal partners, vendors or our Customers - WOW at every opportunity Models quality service delivery at every interaction Leads and contributes to the ongoing improvement of the partner / Customer experience. OCC, SEC, State Insurance Commissioners, NY Department of Financial Services, etc.) Ensures all Continuing Education requirements are attained Responsible for understanding and adhering to TD Bank & TD Wealth Policies and Procedures Responsible for implementing TD's Customer Identification Program (CIP) by collecting and verifying required customer identification information, and performing other Customer Due Diligence and Enhanced Due Diligence Requirements as outlined in the Business Unit AML procedures Uncovers clients asset and transitions higher threshold clients to appropriate HNW Wealth partners as needed Responsible for fostering and contributing to a positive and constructive work environment with a focus on supporting the overall Wealth team Provides coaching, Wealth referral training & on-going feedback to Retail and Small Business staff Contributes individually, as a team member and as a mentor to new FAs, to ensure strong performance, collaboration and enthusiasm Represents TD Wealth to the general public in a professional manner Is involved in the community and support TDBG charity and community initiatives.
KeyCorpPrivate Client Advisor KeyCorpPrivate Client AdvisorPlattsburgh, NYFINRA Security Industry Essentials (SIE) Upon Hire (required) • FINRA License S7 Upon Hire (required) • FINRA License S66 or S63 and 65 Upon Hire (required) • Certified Financial Planner (CFP) (preferred) • Resident State Insurance Licenses (Life, Variable, and Accident/Health or Life & Disability) (required) • In the event you do not hold the required licenses at the time of hire, it will become a condition of your continued employment, and licenses will need to be obtained within the time frame specified in your offer letter. • Performs other duties as assigned; duties, responsibilities and/or activities may change or new ones may be assigned at any time with or without notice • Complies with all KeyBank policies and procedures, including without limitation, acting professionally at all times, conducting business ethically, avoiding conflicts of interest, and acting in the best interests of Keys clients and Key.