We are building a team that focuses on business owner and high net worth clientele. Select candidates will contractually be part of the future ownership of the firm.
PROFESSIONAL OPPORTUNITY
ASSOCIATE VICE PRESIDENT, FINANCIAL ADVISOR
POSITION SUMMARY
Candidates in their first 5 years of registration have the opportunity to work as an Associate Vice President, Financial Advisor in an experienced and professional environment and be positioned as the future leadership of the firm (included in the buy/sell arrangement where the candidate can obtain future ownership in the firm). Independence, industry leading products and services, high payout, and professional freedom. Only candidates interested in building a distinct, highly successful wealth management firm will be considered. Your work ethic must be at the highest level.
PROFESSIONAL COMMITMENT
Candidates must be committed to:
An independent, consultative approach.
Building an office that has an eponymous local presence and reputation.
Believe in managing client assets in house, versus selling packaged products.
All fee based accounts managed in house using the same process for each allocation.
Supporting a team environment and office structure that results in the stability of the firm.
DUTIES AND RESPONSIBILITIES
As a natural leader and a driven, ambitious, proactive professional you will have a successful sales track record and have demonstrated that you can bring on new clients -- find and follow up on leads, transitioning them from prospect to client.
Client Consultation & Service - 40%
Manage and grow investor and business owner relationships by providing knowledgeable expert advice and solutions to accomplish a high level of financial wellness.
Thoroughly understand the client’s financial goals and objectives.
Proactively maintain contact with clients through courtesy calls and reviews.
Update CRM software and client compliance file.
New Business & Client Development - 50%
Proactively solicit new business opportunities with existing clients, ask for referrals.
Develop a market within professions such as business owners, corporate executives, etc or within industries such as health care, manufacturing, etc.
Must be assertive and able to multi-task.
As part of your commitment to build your business and the firm’s business you must have zero call reluctance.
Professional & Personal Development - 10%
Maintain an expert level of knowledge encompassing the financial services industry.
Maintain an advanced understanding of complex financial planning concepts (income and estate tax planning, protection planning, charitable planning, liquidity planning, and trusts) and investment strategies that include individual stock analysis, ETFs, and mutual funds.
REQUIRED QUALIFICATIONS
Clean U4, no pending or potential consumer complaints
State Securities Registration: Series 66 or Series 63 and 65
Life & Health Insurance License
Demonstrated record of proven sales ability and client service abilities
Established written and verbal communication skills as well as interpersonal and negotiating skills
Professional attire
Proficient at advanced math, Office 365, and industry software
PREFERRED QUALIFICATIONS
Series 6 and Series 7
Bachelor’s Degree (in Business, Finance, or Marketing preferred)
Professional Designation: Certified Financial Planner®, Chartered Market Technician®, Chartered Financial Analyst®, Certified Public Accountant, Juris Doctorate, Masters in Business Administration
BENEFITS
As an advisor with LPL Financial you will receive a 1099. The following benefits are available:
Disability Income
Dental
Vision
Term Life
Health Insurance coverage through state exchange or a firm such as Medi-Share
Using the LPL PMCA agreement for simple, straight forward revenue stream
Flex Office – the advisor is not charge extra when using the flex office structure
Low cost for dedicated office
ABOUT HIGHCROFT INVESTMENT ADVISORS
Highcroft Investment Advisors is an independent office of LPL Financial [NASD:LPLA], the largest independent broker/dealer in the United States as measured by revenues (as reported by Financial Planning magazine 1996-2022, based on total revenue). We are an innovative, high touch, wealth management and financial planning firm located in Wayzata. For 30 years we have focused on financial planning and investment management and financial planning for individuals, the management of 401(k), profit sharing, and pension plans, and cash management services for corporations and individuals. As a fiduciary we rarely recommend products such as annuities.
LPL 1-05362904
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IMPORTANT DISCLOSURES
Securities and advisory services offered through LPL Financial, a registered investment advisor, Member FINRA/SIPC. Highcroft Investment Advisors is not affiliated with LPL Financial. To retain independence Highcroft Investment Advisors has contracted with LPL Financial for investment products and services.
There are numerous rules, regulations, guidelines, and best practices as it relates to financial advisors moving from one broker dealer to another. It is imperative that financial advisors follow these requirements when moving their investment practice to LPL Financial. Financial advisors must consult with their legal counsel to ensure compliance.
This correspondence expresses the opinions and views of the author as of the date indicated and are based on the author's interpretation of the concepts therein and may be subject to change without notice. Neither Highcroft Investment Advisors, Gerald Asplund, nor LPL Financial, has no duty or obligation to update the information contained herein.
The information contained herein does not constitute and should not be construed as representation or solicitation for the purchase or sale of any security or related financial instruments in any jurisdiction. The opinions voiced in this material are for general information only and are not intended to provide specific advice or recommendations for any individual security. This memorandum is being made available for educational purposes only and should not be used for any other purpose.
Some of the statements may be regarded as forward-looking statements. Forward-looking statements are, by their nature, subject to uncertainty. Forward-looking statements may include assumptions relating to future investment and economic scenarios. When used herein, the words “anticipate”, “believe”, “could”, “estimate”, “expect”, “going forward”, “intend”, “may”, “ought to”, “plan”, “project”, “seek”, “should”, “will”, “would” and similar expressions are intended to identify forward-looking statements. These forward-looking statements reflect an opinion relating to future events and are not a guarantee of future performance or developments. Reliance on any forward-looking statements involves known and unknown risks and uncertainties. Actual results and events may differ materially from information contained in the forward-looking statements as a result of a number of factors. Accordingly, you should be prudent with your reliance on any forward-looking information or statements.
ABOUT US
The advisors at Highcroft Investment Advisors provide retirement planning, investment management, financial planning, fiduciary investment management, and lifetime income planning. Certified Financial Planner. Working with business owners, individuals, and wealthy families near Wayzata, Minnetonka, Plymouth, Orono, Minnetrista, and Minneapolis Minnesota (55402, 55391, 55447, 55364, 55428).
The advisors at Highcroft Investment Advisors serve as a 3(21) and 3(38) Investment Fiduciary and fiduciary for labor union supplemental 401(k) and pension plans and corporate 401(k) plans. The advisors at Highcroft work with the union's counsel, recordkeeper, administrator, and the plan's trustees. United Association, Plumbers, Pipefitters, Steamfitters, IBEW, and Carpenters. Serving Wisconsin and Minnesota. 401(k) investment advisory services provided through LPL Financial's corporate RIA - offering 3(21) and 3(38) services.
Working with business owners, individuals, and wealthy families near Wayzata, Minnetonka, Plymouth, Orono, Minnetrista, and Minneapolis Minnesota (55402, 55391, 55447, 55364, 55428). As independent financial advisors we are not driven by certain products or services, instead we focus on your needs as an individual. Services include investment fiduciary fee only, retirement and divorce financial planning, life insurance, capital preservation, lifetime income planning, bonds, stocks, ETF, income, IRA, brokerage, rollover IRAs. Financial advisor near me, financial planner near me, independent planner nea