Advisor Advocate

Regal Holdings
Grand Rapids, Michigan
Up to $50,000 per year + benefits
Closing date
Mar 4, 2024

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Job Role
Employment Type
Full Time
Entry Level
Experience Level
1-4 years
CFP® Certification

Job Details

The Advisor Advocate position is an internal support/sales role bridging our independent advisors with our internal Regal service and support team. The Advisor Advocate will provide concierge type support to our 150+ affiliates and to assist them in broadening their investment management services.


The Advisor Advocate will build relationships to foster loyalty, consistency and low turnover within our Registered Investment Advisory firm and Broker/Dealer communities. Our training program will help you develop and professionally and personally to be successful in the role.

Primary focuses of Advisor Advocate:

  • Broadening the distribution of money management strategies to the affiliated advisors
  • Assisting and creating comprehensive financial plans for affiliates.
  • Promoting Regal's practice management programs and ancillary services to help affiliates build their businesses.
  • A concierge service between home office and the national field force.

Education and Experience Requirements:

· A bachelor’s degree in business, or a related field, is a requirement.

· At least 2 years' experience in the Financial Services/Securities Industry.

· Candidate must have a strong understanding of the financial industry.

· Series 6, 7, 65 or 66 and/or Insurance license is required.

· CFP designation is preferred, or the desire to attain the designation – employer paid.

Advisor Advocate Activity Requirements

  • Targeted contacts/communications with affiliates through Zoom and phone calls (daily/weekly/monthly minimums).
  • Creating new and innovative touch points with affiliates.
  • Marketing initiatives, webinars and other relationship building and revenue generating activities.
  • Ability to work with a Senior Advisor Advocate in a training and observation capacity to learn the “Regal” way.


  • The ability to be trained and coached in order to execute our corporate strategic plan.
  • To provide meaningful annual asset growth from the acquisition of new managed assets (Pro Plan Assist).
  • Concierge to affiliates through servicing and retention strategies of current AUM/AUA.
  • To provide a consultative approach to the sales and business development process(es) including case design, preparation, and practice management ideas.
  • To be the ultimate team player.
  • To exemplify Regal's core values while demonstrating the highest personal standards of conduct.
  • To make effective personal contact with advisors the highest priority - relationship orientated focused.
  • To disseminate a clear professional message and image to affiliates.
  • To possess an in-depth understanding of Regal services and investment platform, along with industry custodians.
  • To provide effective liaison between Regal's affiliates and the internal support teams.
  • Work directly with Regal Leadership and Management daily
  • Domestic travel to support corporate strategic plan.
  • Ability to present ideas and concepts to industry professionals via Zoom, phone and, in person via power point.
  • Ability and desire to assist portfolio managers with marketing materials


Our team is about 30 team members covering all areas of Regal. All full time team members receive PTO after 90 days of hire, Simple IRA with an employer match, volunteer time off, health and dental insurance. Team members can also be eligible for tuition reimbursement, travel expenses, and flexible scheduling.Regal Holdings is the parent company for the divisions described below. All entities will be collectively known as “Regal”. Regulus, LLC is the Broker/Dealer entity registered with FINRA. Affiliates that are Broker/Dealer licensed (Series 6, 7) are affiliated with Regulus, LLC. Regal Investment Advisors, LLC is the Registered Investment Advisor firm registered with the SEC. Affiliates that are Investment Advisor Representatives (Series 65, 66) are affiliated with Regal Investment Advisors, LLC. Regal Financial Group, LLC is the corporate branding image for the parent company. Advisors affiliated with Regulus or Regal Investment Advisors may market under Regal Financial Group as long as they adhere to the brand standards. Lionshare is the independent and privately owned distribution and marketing arm of Regal Investment Advisors. Through this distribution channel specialized money management strategies are provided to affiliates offering a wider array of products, including everything from mutual funds to specialty strategies.

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