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Title

Licensed Financial Advisor 

Division CUSO Financial Services, L.P.  
Position Licensed Financial Advisor (House)  
Location San Diego, CA  
Full-Time/Part-Time -unspecified-  
Description

Are you ready to join one of the fastest growing broker-dealer networks in financial services? (Cerulli Associates, 2020) At Atria, we support independent financial professionals and financial institution investment programs so they, in turn, can provide exceptional service to their clients and develop meaningful relationships with them.

We are looking for a Licensed Financial Advisor to join our organization. In this role, you will serve in a General Securities Representative and Investment Adviser Representative capacity, for customer accounts remaining as House Accounts after a field representative leaves the firm. This individual works in the Operations Department, and reports to a Home Office Principal for supervision and review.

The individual in this role must be able to work from one of our home offices including

  • NEXT Financial Group in Houston, TX,
  • CUSO Financial Services in San Diego, CA or
  • Cadaret Grant in Syracuse, NY.

Our offices throughout the country are the most effective environment for us to support and partner with financial professionals. At the same time, the health and safety of our team is our highest priority. Our COVID-19 Task Force actively monitors and tracks the ongoing status in each of our office locations, ensuring consistency with CDC guidelines and providing a safe and healthy work environment for our team members.

Duties and Responsibilities:

  • Assist with the tracking, management, reassignment, and closure of accounts currently listed as House accounts as well as accounts abandoned by representatives who have left NEXT Financial Group Inc. ('NEXT').
  • Ensure all required mailings are sent to the customers listed as either House accounts or accounts of Representatives who have left NEXT.
  • Receive inquiries and provide assistance to customers with ongoing account service requests.
  • Expedite unsolicited requests from customer for account transactions (purchase and sell orders), distributions and fund exchanges. This may require meetings with customers.
  • Maintain required books and records as stated in the Firm's Operations and Compliance manuals pertaining to field/branch office representatives.
  • Offer securities and advisory services on a solicited basis to both current customers (as House accounts) and new customer accounts generated by the House Account Representative.
  • Comply with annual audit inspections and FINRA, SEC, and state regulatory requests.
  • Provide additional assistance to Firm Operations and Home Office Supervision Departments, both for general and specific projects and requests, on an as needed basis.

 
Position Requirements

Education, Skills and Experience:

  • FINRA Series 7, 63/65 (or 66) securities licenses are required.
  • Life Insurance license is required.
  • High school diploma or GED is required. Associates and/or Bachelor’s degree desired.
  • Previous work history in the financial services industry is required.
  • Ability to provide a high level of customer service.
  • Strong verbal and written communication skills.
  • Accurate recordkeeping and documentation.

Why work at Atria?

In addition to a competitive salary, we provide a full benefits package that includes:

  • Medical insurance
  • Dental insurance
  • Prescription drug benefits
  • Vision insurance
  • Retirement savings 401(k) plan with matching
  • Paid time off
  • Paid holidays
  • Critical illness insurance
  • Veterinary pet insurance
  • Employee assistance program
  • Life insurance
  • Short & long-term disability insurance
  • Legal plan

Atria Wealth Solutions, Inc. (Atria) is a wealth management solutions holding company focused on delivering a clear path to the future of financial advice for financial professionals, financial institutions and their clients. Headquartered in New York City, Atria’s broker-dealer subsidiaries empower financial institutions and independent financial professionals with a sophisticated set of tools, services, and capabilities that deepen client relationships and maximize efficiencies in their practices.

Atria’s broker-dealer subsidiaries include CUSO Financial Services, L.P., Sorrento Pacific Financial, LLC, Cadaret Grant & Co., Inc., NEXT Financial Group, Inc., Western International Securities, Inc., and SCF Securities, Inc. Atria’s subsidiaries together support nearly 2,500 financial professionals and over 200 financial institutions with nearly $100 billion of assets under administration. For more information, please visit www.atriawealth.com.

It’s time for the next step in your career. Apply now.

 

This position is currently not accepting applications.

To search for an open position, please go to http://CUSO.appone.com




 


 
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