Entrepreneurial Financial Advisor
Entrepreneurial Financial Advisor
Posted on :
05-04-2025
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1 Vacancy
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Monthly Salary
Not Disclosed
Salary Not Disclosed
Vacancy
1 Vacancy
Posted on :
05-04-2025
Job Description
Entrepreneurial Financial Advisor
Forum Financial Management LPWWW.FORUMFINANCIAL
Forum Financial Management LP is a rapidly growing Registered Investment Advisory Firm (RIA) with more than $8.5 billion in assets under management. Forum was founded in 2002 and became an independent RIA advisory firm in 2009. At Forum we use a highly diversified investment strategy derived from decades of academic research. While this strategy has been called many things we think the term evidencebased investing best describes this approach. We strive to take the emotions out of investing and counsel clients to avoid making shortsighted moves based on current market conditions.
In this role you will be mentored by an experienced Financial Advisor that will incorporate you in client meetings and codevelop financial plans. As an entrepreneurial organization our advisors have a higher earning potential than what is typically offered by similar firms in our industry. We believe that this advisorowned structure allows us to better align ourselves with the needs of the clients we serve. There are several ways that we support new advisors to help everyone thrive within our organization including our mentoring program new advisor training and compensation model for nextgeneration advisors.
Job Responsibilities:
In this role you will be responsible for but not limited to the following:
Prospecting and Entrepreneurship
- Market to potential new clients to grow a book of personal advisory clients
- Generate referrals from existing clients by providing a high level of client support through thoughtful and consistent communication high quality advice and timely responses to client requests
- Engage with clients assigned by your mentoring advisor to support their ongoing needs and strengthen relationships
- Build and maintain a network of individuals that could benefit from financial planning support and/or serve as a referral source; market to this network to grow a book of personal advisory clients
Client facing
- Act as an associate advisor in for existing client relationships completing tasks and followup duties as requested by your mentor
- Work as the lead advisor on clients that you bring into the firm enlisting support from you mentor as needed throughout the process
- Respond to client calls and requests in a timely manner
- Attend meetings take thorough notes and identify clear next steps to ensure that client followups are completed
- Oversee client rollovers account transfers and account distributions and maintain contact with clients and vendors through confirmation that processes have been completed
- Onboard new clients by providing clear communication and guidance throughout the onboarding process
- Conduct ongoing communication with clients to set meetings gather data implement action items and provide meeting followup or deliverables
- Securely provide requested tax reports to clients or their accountants
- Interface with the Client Service Team Back Office / Traders Advisor Support Schwab to work on client service or portfolio needs
- Participate in advisor training advisor conferences operational meetings and monthly calls to learn about changes and upcoming events within Forum
- Keep up to date with various tax law changes social security benefits changes economic policy changes congressional bill developments and progress through legislative process etc. to be ready to apply & implement those changes in plans or advice given to clients
- Prepare and present investment and advisory recommendations both individually and in conjunction with mentor
- Develop and deliver recommendations on various insurance products to support clients in making the best longterm financial decisions
- Create Social Security Analyzer reports to be integrated into the Dash Plan retirement projections
- Run Dash Plan Investment Policy Statements and various retirement projection scenarios for prospective and existing clients
- Utilize the Hub (our proprietary Client Relationship Management (CRM) database) to update client records enter meeting notes generate meeting agendas request files from clients and manage tasks
- Contact clients to process RMDs and work with the Client Service Team to obtain Inherited RMD amounts
- Update Dash Plan assumptions and projections prior to meetings as requested
- Create spreadsheet analysis or do research on various topics as requested
- Run all created reports through Compliance and file on Box
- Process client withdrawals or deposits as requested
- Participate in compliance training and quarterly affirmations to stay up to date with the latest guidelines
- Growth mindset Enthusiastic about the idea of building a client base and willing to learn new skills
- Selfstarter Comfortable acting willing to ask questions and demonstrates a high level of intrinsic motivation
- Active listener Demonstrates the ability to listen effectively and capture key details to support client needs
- Detail oriented Recognizes the tasks that require a high level of detail and can manage details in a fastpaced environment
- Time Management Our best advisors can work independently and leverage the resources within our firm to spend most of their time on value added tasks and respond to clients quickly
- Organized Effective note taker uses our technology and can identify the more important tasks to focus on
- Collaborative Willing to ask for help form their mentor as well as others in the organization to gain the knowledge and tools needed to be successful in this role
- Analytical Demonstrates the ability to review data and develop recommendations based on the goals of the client
- Relationship oriented Knows how to build rapport with others and is comfortable building relationships
- Communication Demonstrates the ability to communicate (written and oral) messages clearly even in complex situations
- 2 years as a financial advisor is preferred
- Clean compliance record
- Bachelors degree or graduate degree in business or a related field
- Series 65 and CFP designation preferred or an intent to complete
- Experience in a securityrelated or financial planning firm is a plus
- Client relationship and sales experience is a plus
- Knowledge of Schwab TD Ameritrade and/or Fidelity custodians a plus
- Knowledge of financial planning software including Money Guide Pro
- This is an entrepreneurial role which means that your compensation is based on your ability to bring clients into the firm. Our mentorship program would provide you with the tools and support needed to be successful in this role.
Required Experience:
Manager
Employment Type
Full-Time
Key Skills
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