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 benefits offering.
Responsibilities
· Create and implement comprehensive financial solutions to meet client goals and objectives
· Grow and maintain client relationships, assets and revenue
· Through training and pro-active means continuously build knowledge and expertise on products, technologies, wealth solutions, economic and capital market events
· Meet all Regulation Best Interest, Form CRS, Fiduciary and other regulatory commitments and requirements
· Meet all Regal compliance requirements and operational processes
Qualities
· Client-first approach
· Leadership traits
· Sales intelligence
· Drives for results
· High Integrity
· High Accountability
· Collaborative & Coachable
Education / Licenses
· Series 7 Securities license
· Series 66 or 65 license
· Life, Health and Variable Annuity license or obtain upon employment
· Bachelor’s Degree
Experience
· Minimum 3 to 5 years of experience as a Financial Advisor delivering advice and managing client relationships
· Clean CRD/U4
· Proficiency with financial planning and research tools
· Proficiency with Microsoft Office Suite
https://www.linkedin.com/jobs/search/?keywords=wealth%20advisor
What We Do
In the race to sameness, the financial services industry is attempting to fit advisors and their clients into an increasingly limited set of solutions. Conversely, Regal does not subscribe to a one size fits all approach as each advisor’s business, and their client’s financial needs and circumstances, are unique and deserve the appropriate attention.
Regal provides an Open Solution Partnership with our advisors to help them serve their clients without quotas, mandates, or grid compression. We proudly support advisory, brokerage and hybrid business models to help advisors serve clients’ best interest and we offer affiliation for Independent Advisors, Employee Advisors, and full Enterprise Solutions.
Regal Securities is an independent Broker/Dealer and wealth management firm entrusted by our clients to help them navigate their financial and family journey. Regal provides brokerage and advisory solutions (through Regal Advisory Services, Inc.) created to strengthen and accelerate our advisors’ business success. Personalization and creative thinking are the foundation for our concierge service & transition team. Regal places the client and their advisor center stage to empower a life of purpose and abundance.
Looking for a white glove service model and the family culture? Please contact us to start a conversation that can lead to the next step of your life and business journey of empowerment.
Regal provides full service custody functions, state-of-the-art technology and execution capabilities in all major markets for Registered Representatives, Broker-Dealers, Registered Investment Advisor firms and Independent Investment Advisor Representatives through Regal Advisory Services, Inc., a Regal affiliated firm.
