Junior Financial Broker - Encino

An independent financial services firm, offering securities and advisory services, committed to making the planning, investment, and retirement process simple and understandable for clients.

Job Title: Junior Financial Broker
Compensation: $60k-$75k/year and potential bonuses
Location: Encino, CA

We are actively seeking a licensed Junior Broker to join our dynamic team. As a Junior Broker, you will play a crucial role in supporting our clients' financial goals, providing top-notch service, and contributing to the growth and success of our organization.

Responsibilities:

• Establish and maintain strong relationships with clients, understanding their financial objectives and risk tolerance.
• Provide personalized financial guidance and investment recommendations to help clients achieve their goals.
• Execute securities transactions in alignment with regulatory guidelines and company policies.
• Offer advisory services, ensuring compliance with industry standards.
• Utilize technological tools to streamline processes and enhance client interactions.
• Collaborate with clients to develop and implement financial plans tailored to their unique needs.
• Stay updated on market trends, investment opportunities, and regulatory changes.

Qualifications:

• Active 7-series license, 66, or 65.
• Previous experience in a similar role within the financial services industry.
• Familiarity with Schwab or Pershing Platform is highly desired.
• Strong interpersonal and communication skills.
• Detail-oriented with a commitment to compliance and ethical conduct.
• Proactive attitude, self-motivated, and a team player.

If you are a motivated and licensed professional looking to advance your career in a dynamic financial services environment, we encourage you to apply!