LPL Financial Branch Office – Lexington, Massachusetts - Associate Financial Advisor
Principal: Kathryn L Maffei, CFP®
Are you looking to join a financial planning practice that is passionate about ESG investing and assisting clients to achieve their financial goals?
We’re looking for a special advisor—one who has a keen interest in ESG investing and providing comprehensive financial planning/investment management for our clientele. Our predominantly ESG practice was launched in 1986 and has, over the years, cultivated a strong base of loyal clients. Our goal in bringing on an associate financial advisor is to grow our ESG practice while gradually shifting client-focused activities to that advisor, eventually leading to partial ownership. We are looking for an experienced, confident financial advisor who is well-organized, comfortable with face-to-face meetings with clients, skilled at investment management and financial planning, and interested in taking on daily tasks associated with our client-focused work. Our preference is to hire a CFP® with some established clientele who is accustomed to working as a fiduciary.
This opportunity provides the right candidate a platform to ease into partial ownership of an ESG-centered practice that already has a strong base of revenue. Paired with the mentorship of the principal, systems are in place for such an advisor to expand and further develop an established, successful ESG practice. Compensation will be based on experience and skill level.
This position seeks a candidate who will enthusiastically:
- Partner with the principal, Kathryn Maffei, to provide financial planning and investment management services to her existing clients and corresponding referrals
- Assist in building a CRM system that will allow for easy sharing of client information for our team
- Develop communication channels with clients that will inform them about sustainable investing, financial planning and investment market trends
- Periodically review client holdings, review asset allocation, research products owned by client, and determine if rebalancing is suitable
- CFP® designation and BA or BS from accredited university
- 8+ years of investment advisory experience which includes communicating directly with clients, reviewing and rebalancing their accounts, researching investment options, tax planning, and providing regular investment and financial planning review presentations to clients
- Experience in collecting client data and running financial plans
- FINRA Series 7, 63, and 65 registrations or FINRA Series 7 and 66 registrations
- Clean FINRA and SEC records and strong understanding of industry regulations
Please submit resume with cover letter
For a list of states in which I am registered to do business, please visit http://www.kathrynmaffei.com