Job Description

COMPANY OVERVIEW: Signature Estate and Investment Advisors, LLC (SEIA) is a rapidly-growing, nationally-recognized, wealth management firm headquartered in Los Angeles, CA and 25 offices around the country. We provide a high level of customized investment and wealth management support to a large and affluent group of clients around the country. As an RIA (Registered Investment Advisor) with its own broker-dealer, SEIA is recognized annually by numerous major publications (Barron’s, Forbes, Financial Times, etc.), and we manage over $33 billion in client assets. We are seeking a full-time, experienced professional to be a Financial Advisor in our Salt Lake City office, serving as a remote member of an LA-based, Partner's quickly growing team. This is a rare opportunity (with huge upside) to become part of the fastest-growing team with a huge referral pipeline, and to build a book of business within a team structure.

SUMMARY: This position is based in Salt Lake City with the ability to work from home, or from our office space downtown in the Hancock building. You will be reporting to - and working with - a Partner/Senior Financial Advisor who is based in Los Angeles, but travels back and forth. Responsibilities include helping the Partner/Senior Financial Advisor bring on new business; assisting with generating new referrals from Fidelity and Charles Schwab; assisting with fielding incoming referrals from Fidelity (and perhaps Schwab); servicing new and existing clients; conducting client portfolio reviews for existing clients in the Salt Lake City area; communicating and executing portfolio trades and rebalancing; creating and presenting comprehensive retirement plans using eMoney; assisting in presenting to our custodians (Fidelity and Schwab) and their clients; and all practice management and new business initiatives listed below. Members of an advisory team work together servicing clients.

DUTIES AND RESPONSIBILITIES:

Client Service

• Independently serve and grow existing investment client relationships.
• Assist Partner/Senior Financial Advisor in preparing for client review meetings.
• Monitor and re-balance client portfolios.
• Resolve client inquiries in a timely manner.
• Maintain client information on in-house CRM database system.
• Account maintenance (opening new accounts, handling account TOAs (Transfer of Assets), managing account distributions or asset journals, handling address changes, etc.).
• Quarterback the financial planning process (creating and presenting/delivering client retirement plans with eMoney software).

Practice Management

• Generate ideas for marketing and new business development.
• Create processes to help create scale and build a more efficient practice.
• General administrative duties.
• Value-add projects as assigned.
• Provide polished client service to custodians (Fidelity, Schwab), clients, prospects, consultants, and/or brokers.
• Prepare ad-hoc reports or tasks for clients or lead advisor.

New Business

• Help develop relationships with referring FC’s (Financial Consultants) at all Fidelity branches around Salt Lake City.
• Quarterback prospect portfolio diagnosis process (run analysis, prepare diagnosis email, etc.).
• Find solutions for prospective client’s situations.
• Pre-populate new business paperwork and send via DocuSign.
• Process and electronically file/task new business paperwork once completed.

Edification and Interaction

• Stay up to date with stock market and financial service industry trends, products, and strategies.
• Interact with SEIA Investment Committee members to stay abreast of changing economic and market outlook.
• Attend research meetings with research team to understand and communicate firm’s market outlook.
• Stay up to date about the firm’s alternatives and private market solutions.

QUALIFICATIONS:

• Bachelor's Degree (BA) from four-year college or university. MBA is a plus not required.
• At least 4-10 years of related experience in an investment, financial planning, or wealth management firm.
• FINRA licenses Series 7, 63, and 65 (or Series 66, in lieu of the 63 and 65)
• Preferred CERTIFIED FINANCIAL PLANNER™ (CFP®), CPWA, and or CFA
• Preferred Insurance and annuity license and sales experience.
• Preferred to have a knowledge of eMoney financial planning software

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