Lead or Associate Advisor
Anchor Bay Capital Inc. is a rapidly expanding SEC registered RIA offering financial planning, tax, and investment advisory services with offices in Carlsbad and Tustin. We have an opening for a Lead or Associate Advisor who wants a client continuity or succession plan for their clients or is interested in joining an independent firm with an ownership track for future professional growth.
There are significant benefits to working with Anchor Bay Capital, including our in-house financial planning, tax, investment, and service teams. Having the support of highly experienced and credentialed members of a team allows our advisors to focus on their client relationships and gather new assets instead of worrying about the burden of the day to day operation of a financial planning practice. In addition to our in-house team approach, we offer state of the art technology, turn-key seminar and marketing systems, the opportunity to work from one of our offices or remotely, and complete compliance and practice management support. While we are primarily a fee-based firm serving clients on an AUM, hourly, flat fee, or subscription basis, we have a broker dealer and insurance solutions if desired.
The ideal advisor would be someone with an established book of business who is looking to join a firm that is focused on comprehensive financial planning, is fee based, acts as a fiduciary in all aspects of their practice and likes a “one stop shop” approach. Tax preparation experience and licensing is a plus.
We offer a competitive compensation package including a base income plus performance bonuses, 401(k), subsidized health insurance, ownership opportunities, a liberal time off policy, and financial support for industry conferences, membership and professional credentials. We also offer an opportunity to monetize your current book of business through a variety of purchase options.
- Provide comprehensive financial advice and serve as relationship manager to new and existing clients.
- Support the Financial Planning Director with preparation of financial plans and income tax returns. (Associate Advisor)
- Participate in firm marketing activities including webinars, seminars, and written content.
- Form new client relationships through networking, referrals and marketing generated leads.
- Increase skills and knowledge through continuing education and obtainment of professional credentials.
Requirements for Consideration
Bachelor’s degree - ideally in financial planning, business, or accounting
Minimum of 2 years industry experience for Associate Advisor or 5 years client facing experience for Lead Advisor
CFP designation for Lead Advisor
Series 65 license plus clean U-4 and background check
Established book of business is a major plus
Experience and licensing or credentialing (CPA, EA, CTEC) in tax preparation also a major plus
Experience with eMoney or Moneyguide Pro preferred