Wealth Advisor

Wealth Advisor

Regal Securities, Inc. and Regal Advisory Services, Inc.
Glenview, IL, Orlando, FL, Fort Myers, FL

Regal Securities, Inc. is a diversified financial services firm serving private clients, professional investors and institutions. We are adding a Wealth Advisor to our team to assist in the growth of our Wealth Management business. Our Vision is to be THE Trusted Advisor for our clients. Our Mission is to empower our team members so that they can best serve clients and do the work that inspires them to deliver excellence

We value and reward ambitious and talented professionals who are creative and courageous, who dare to think big and act on innovative ideas. We seek teammates who enjoy their work, have a positive outlook, are willing to share their talents and skills and who want to contribute to the whole of the organization.

Role

This role does not require that the advisor have an existing book of business. Based in our Glenview, IL, Orlando, FL or Fort Myers, FL offices, the right candidate will be positioned to act as a successor to retiring advisors and will, further, have the opportunity to work with a legacy group of Regal clients and share in the revenue while growing the legacy relationships.

As a full-time, W-2 employee, you will have an opportunity to participate in the firm's benefit offerings.

Responsibilities

1. Create and implement comprehensive financial solutions to meet client goals and objectives
2. Grow and maintain client relationships, assets and revenue
3. Through training and pro-active means continuously build knowledge and expertise on products, technologies, wealth solutions, economic and capital market events
4. Meet all Regulation Best Interest, Form CRS, Fiduciary and other regulatory commitments and requirements
5. Meet all Regal compliance requirements and operational processes

Qualities

1. Client-first approach
2. Leadership traits
3. Sales intelligence
4. Drives for results
5. High Integrity
6. High Accountability
7. Collaborative & Coachable

Education / Licenses

1. Series 7 Securities license
2. Series 66 or 65 license
3. Life, Health and Variable Annuity license or obtain upon employment
4. Bachelor's Degree

Experience

1. Minimum 3 to 5 years of experience as a Financial Advisor delivering advice and managing client relationships
2. Clean CRD/U4
3. Proficiency with financial planning and research tools
4. Proficiency with Microsoft Office Suite