Financial Advisor Associate - Bethpage, NY
TD Securities, Bethpage, NY, United States
Work Location
Bethpage, New York, United States of America
Hours
40 hours per week
Pay Details
$66,560 – $99,320 USD. TD is committed to fair and equitable compensation. Growth opportunities and skill development are defining features of the colleague experience. Base pay may vary based on skills and experience, job‑related knowledge, geographic location, and organizational needs. Applicants encouraged to discuss compensation with recruiters.
Line Of Business
TD Wealth
Job Description
The Financial Advisor Associate (FAA) works with TD Wealth prospects and clients to attract and retain clients by addressing their wealth management advisory needs. The FAA meets with prospects and clients to analyze financial information, understand short‑ and long‑term goals, educate and advise on investment and insurance strategies and products, and recommend personalized solutions to meet clients’ financial and wealth creation objectives.
The successful FAA must possess broad knowledge and a demonstrated ability to inform, educate and advise on financial analysis, markets, goals, investment and insurance strategies, and wealth management. Strong interpersonal skills are essential to develop a thorough understanding of each client’s circumstances and to act as a fiduciary, putting the client’s financial interests first. Responsibilities include ongoing objective financial advice, long‑term retirement planning, and annual reviews to identify changes in client status or goals.
The FAA is responsible for all aspects of developing and maintaining client relationships, providing ongoing consultation, advice, planning, and day‑to‑day account servicing. The role requires relationship‑building and influence skills to develop the client base and meet assigned goals. Working within an assigned territory, the FAA educates and coaches Retail Store staff to identify referral prospects and engages key partners across the organization as appropriate.
Depth & Scope Primary relationship manager and financial advisor for TD Wealth clients.
Develops, maintains, and manages all aspects of client relationships.
Works with prospects to attract and develop clients and address their wealth management advisory needs.
Analyzes client and prospect financial information and recommends investment and insurance strategies.
Builds client base by acquiring new clients on an ongoing basis.
Educates and advises prospects and clients on investment and insurance strategies.
Retains and grows the client base through relationship management and ongoing communication.
Recommends personalized investment and insurance strategies to meet financial objectives.
Meets quarterly and annual objectives.
Proficient in salesforce, MoneyGuide Pro, and other authorized software.
Ensures new clients receive a complete onboarding experience.
Provides education, coaching, and ongoing feedback to Retail and Small Business staff.
Executes a process that ensures periodic contacts and an Annual Client Review.
Deepens wallet share by anticipating client needs and suggesting appropriate wealth solutions.
Identifies portfolio and network opportunities for referral business.
Ensures compliance with regulations, policies, and procedures.
Adheres to federal, state, SRO regulations and firm policies (e.g., OCC, SEC, NY Department of Financial Services).
Recovers all continuing education requirements.
Understands and adheres to TD Bank & TD Wealth policies and procedures.
Implements TD’s Customer Identification Program and performs due diligence.
Develops understanding of client assets and transfers higher‑threshold clients to HNW partners as needed.
Fosters a collaborative work environment and mentors new FAAs.
Represents TD Wealth professionally to the public.
Supports community initiatives.
Education & Experience Bachelor’s degree strongly preferred.
1+ year of relevant financial services experience, relevant degree, or completion of FAA Trainee program.
SIE & Series 7 required.
Required to hold L&H and Series 66 (or equivalent) or ability to obtain all.
Self‑directed with strong planning for sales and referral goals.
Comprehensive understanding of wealth products and services.
Strong verbal and written communication skills.
Strong organizational and time‑management skills.
Ability to travel within assigned market five days a week.
Ability to commute within the territory.
Understanding of wealth management business development techniques.
Experience interacting with retail and small business banking clients.
Consultative sales experience required.
Ability to partner effectively with other departments.
Occ Position is a FINRA member, broker, or dealer subject to FINRA and securities laws. May or may not be registered under FINRA.
Must meet FINRA eligibility standards and undergo investigation and verification under FINRA Rule 3110(e).
Must pass criminal background, credit, civil litigation, regulatory enforcement checks as required by federal law.
Physical Requirements
Never: 0 %; Occasional: 1‑33 %; Frequent: 34‑66 %; Continuous: 67‑100 %.
Domestic travel – Continuous
International travel – Occasional
Performing sedentary work – Continuous
Performing multiple tasks – Continuous
Operating standard office equipment – Continuous
Responding quickly to sounds – Occasional
Sitting – Continuous
Standing – Occasional
Walking – Occasional
Moving safely in confined spaces – Occasional
Lifting/Carrying under 25 lbs. – Occasional
Lifting/Carrying over 25 lbs. – Occasional
Squatting – Occasional
Bending – Occasional
Kneeling – Occasional
Crawling – Occasional
Climbing – Never
Reaching overhead – Occasional
Reaching forward – Occasional
Pushing – Occasional
Pulling – Occasional
Twisting – Occasional
Concentrating for long periods – Continuous
Applying common sense in standardized situations – Continuous
Reading, writing, comprehending instructions – Continuous
Adding, subtracting, multiplying, dividing – Continuous
These statements describe the general nature and level of work. They are not exhaustive. The listed responsibilities are essential functions for ADA purposes.
Who We Are
TD is one of the world's leading global financial institutions and the fifth largest bank in North America by branches/stores. Over 95,000 TD colleagues foster deeper relationships, disciplined execution, and a faster banking experience. TD is committed to client experience, ensuring all colleagues are client‑facing, reimagining banking for clients, colleagues, and communities.
Our Total Rewards Package
The package includes base salary and variable compensation/incentive awards, health and well‑being benefits, savings and retirement programs, paid time off, financial services discounts, career development, and recognition programs.
Additional Information
We’re delighted you’re considering a career with TD. Regular development conversations, training programs, and competitive benefits support colleagues to thrive at work and at home.
Colleague Development
Interested in a specific career path or building skills? You’ll receive regular performance conversations, an online learning platform, and mentoring programs. TD offers career paths to grow expertise and make meaningful impact.
Training & Onboarding
We provide training and onboarding sessions to ensure success in your role.
Interview Process
We’ll reach out to candidates of interest for interviews and communicate outcomes via email or phone.
Accommodation
TD Bank is an equal opportunity employer. All qualified applicants receive consideration without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, veteran status or other protected characteristics. If you have a disability and need accommodations to complete the application process, email TD Bank US Workplace Accommodations Program at USWAPTDO@td.com.
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Bethpage, New York, United States of America
Hours
40 hours per week
Pay Details
$66,560 – $99,320 USD. TD is committed to fair and equitable compensation. Growth opportunities and skill development are defining features of the colleague experience. Base pay may vary based on skills and experience, job‑related knowledge, geographic location, and organizational needs. Applicants encouraged to discuss compensation with recruiters.
Line Of Business
TD Wealth
Job Description
The Financial Advisor Associate (FAA) works with TD Wealth prospects and clients to attract and retain clients by addressing their wealth management advisory needs. The FAA meets with prospects and clients to analyze financial information, understand short‑ and long‑term goals, educate and advise on investment and insurance strategies and products, and recommend personalized solutions to meet clients’ financial and wealth creation objectives.
The successful FAA must possess broad knowledge and a demonstrated ability to inform, educate and advise on financial analysis, markets, goals, investment and insurance strategies, and wealth management. Strong interpersonal skills are essential to develop a thorough understanding of each client’s circumstances and to act as a fiduciary, putting the client’s financial interests first. Responsibilities include ongoing objective financial advice, long‑term retirement planning, and annual reviews to identify changes in client status or goals.
The FAA is responsible for all aspects of developing and maintaining client relationships, providing ongoing consultation, advice, planning, and day‑to‑day account servicing. The role requires relationship‑building and influence skills to develop the client base and meet assigned goals. Working within an assigned territory, the FAA educates and coaches Retail Store staff to identify referral prospects and engages key partners across the organization as appropriate.
Depth & Scope Primary relationship manager and financial advisor for TD Wealth clients.
Develops, maintains, and manages all aspects of client relationships.
Works with prospects to attract and develop clients and address their wealth management advisory needs.
Analyzes client and prospect financial information and recommends investment and insurance strategies.
Builds client base by acquiring new clients on an ongoing basis.
Educates and advises prospects and clients on investment and insurance strategies.
Retains and grows the client base through relationship management and ongoing communication.
Recommends personalized investment and insurance strategies to meet financial objectives.
Meets quarterly and annual objectives.
Proficient in salesforce, MoneyGuide Pro, and other authorized software.
Ensures new clients receive a complete onboarding experience.
Provides education, coaching, and ongoing feedback to Retail and Small Business staff.
Executes a process that ensures periodic contacts and an Annual Client Review.
Deepens wallet share by anticipating client needs and suggesting appropriate wealth solutions.
Identifies portfolio and network opportunities for referral business.
Ensures compliance with regulations, policies, and procedures.
Adheres to federal, state, SRO regulations and firm policies (e.g., OCC, SEC, NY Department of Financial Services).
Recovers all continuing education requirements.
Understands and adheres to TD Bank & TD Wealth policies and procedures.
Implements TD’s Customer Identification Program and performs due diligence.
Develops understanding of client assets and transfers higher‑threshold clients to HNW partners as needed.
Fosters a collaborative work environment and mentors new FAAs.
Represents TD Wealth professionally to the public.
Supports community initiatives.
Education & Experience Bachelor’s degree strongly preferred.
1+ year of relevant financial services experience, relevant degree, or completion of FAA Trainee program.
SIE & Series 7 required.
Required to hold L&H and Series 66 (or equivalent) or ability to obtain all.
Self‑directed with strong planning for sales and referral goals.
Comprehensive understanding of wealth products and services.
Strong verbal and written communication skills.
Strong organizational and time‑management skills.
Ability to travel within assigned market five days a week.
Ability to commute within the territory.
Understanding of wealth management business development techniques.
Experience interacting with retail and small business banking clients.
Consultative sales experience required.
Ability to partner effectively with other departments.
Occ Position is a FINRA member, broker, or dealer subject to FINRA and securities laws. May or may not be registered under FINRA.
Must meet FINRA eligibility standards and undergo investigation and verification under FINRA Rule 3110(e).
Must pass criminal background, credit, civil litigation, regulatory enforcement checks as required by federal law.
Physical Requirements
Never: 0 %; Occasional: 1‑33 %; Frequent: 34‑66 %; Continuous: 67‑100 %.
Domestic travel – Continuous
International travel – Occasional
Performing sedentary work – Continuous
Performing multiple tasks – Continuous
Operating standard office equipment – Continuous
Responding quickly to sounds – Occasional
Sitting – Continuous
Standing – Occasional
Walking – Occasional
Moving safely in confined spaces – Occasional
Lifting/Carrying under 25 lbs. – Occasional
Lifting/Carrying over 25 lbs. – Occasional
Squatting – Occasional
Bending – Occasional
Kneeling – Occasional
Crawling – Occasional
Climbing – Never
Reaching overhead – Occasional
Reaching forward – Occasional
Pushing – Occasional
Pulling – Occasional
Twisting – Occasional
Concentrating for long periods – Continuous
Applying common sense in standardized situations – Continuous
Reading, writing, comprehending instructions – Continuous
Adding, subtracting, multiplying, dividing – Continuous
These statements describe the general nature and level of work. They are not exhaustive. The listed responsibilities are essential functions for ADA purposes.
Who We Are
TD is one of the world's leading global financial institutions and the fifth largest bank in North America by branches/stores. Over 95,000 TD colleagues foster deeper relationships, disciplined execution, and a faster banking experience. TD is committed to client experience, ensuring all colleagues are client‑facing, reimagining banking for clients, colleagues, and communities.
Our Total Rewards Package
The package includes base salary and variable compensation/incentive awards, health and well‑being benefits, savings and retirement programs, paid time off, financial services discounts, career development, and recognition programs.
Additional Information
We’re delighted you’re considering a career with TD. Regular development conversations, training programs, and competitive benefits support colleagues to thrive at work and at home.
Colleague Development
Interested in a specific career path or building skills? You’ll receive regular performance conversations, an online learning platform, and mentoring programs. TD offers career paths to grow expertise and make meaningful impact.
Training & Onboarding
We provide training and onboarding sessions to ensure success in your role.
Interview Process
We’ll reach out to candidates of interest for interviews and communicate outcomes via email or phone.
Accommodation
TD Bank is an equal opportunity employer. All qualified applicants receive consideration without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, veteran status or other protected characteristics. If you have a disability and need accommodations to complete the application process, email TD Bank US Workplace Accommodations Program at USWAPTDO@td.com.
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