Moors & Cabot
Overview
Position: Financial Advisor Location: Naples, FL (in-office, hybrid or remote options may be available depending on proximity to a branch) Note: This description reflects the responsibilities and qualifications for the role as posted. This is not an offer or contract. Role Summary
The Financial Advisor will oversee investment strategies for a diverse client base, designing and executing tailored financial plans to meet clients' customized goals and provide a holistic approach to financial planning. Role Description
The Financial Advisor is a member of the Moors & Cabot team focused on delivering high-quality service to help clients achieve their financial goals. The advisor embodies Moors & Cabot’s core values — Integrity, Service is Personal, One Team, Communication, and Initiative — in all responsibilities. This full-time role reports to the Branch Manager and operates Monday – Friday, 8:30 AM to 5:00 PM EST. Flexible work arrangements (remote, hybrid, in-office) may be available based on proximity to a branch and business needs and must be located within the state of Florida. Role Responsibilities
Develop and implement financial planning solutions for clients and perform complex research and financial analysis related to those solutions Build, maintain, and update client databases and financial plans Perform research for client portfolios using various software tools Stay current on investment products and market trends Utilize MoneyGuidePro in analyzing, drafting, and implementing financial plans based on client needs Provide strategic advice and manage money to reflect client risk tolerance, income, expenses, and assets Continuously monitor clients’ financial situations with detail and accuracy by monitoring portfolio transactions and addressing client portfolio inquiries Maintain and cultivate client relationships via approved mediums of communication Create and prepare detailed portfolio reviews, security analyses, and client delivery presentations for meetings Document and execute money moves — trades, deposits, ACH, wires, withdrawals, rollovers, etc. Cultivate relationships with wholesalers Utilize marketing and established business plans to increase book of business Plan networking opportunities to foster client opportunities Maintain working relationships with other business functions to ensure seamless business practices and troubleshoot problems when they arise (Compliance, Operations, IT, Training Center, etc.) Set performance expectations and goals for assigned Client Associate(s) in conjunction with the Branch Manager Provide feedback and mentorship to assigned Client Associate(s) regularly Adhere to and stay up to date on Compliance and firm policies Ensure and maintain good standing with all FINRA/SEC rules and regulations including licensure and continuing education requirements Keep up-to-date with the latest tax regulations and industry trends Be an active culture carrier and contribute to a positive team morale Key Measurements
Ability to meet annual production/revenue goals Maintenance and growth of client relationships and book of business Adherence to and limiting compliance risk and liability Overall success and satisfaction of the team, as applicable Minimum Requirements
7+ years of relevant experience within Financial Services Portable book of business FINRA SIE, Series 7 and 66 (63/65) Bachelor’s Degree or higher in Business, Finance, or related field A passion for financial markets Strong understanding of financial planning, portfolio management, and fiduciary investing concepts Prior experience with Financial Planning software Confident in using Microsoft Office Suite and Google Suite applications Comfortable taking initiative and being part of a team environment Ability to sit for long periods of time and lift up to 10 pounds Preferred Requirements
Experience with RBC, AOS, Nexus Trading, RedTail, RedOak, Wealthbox, Addepar, RightCapital, RiskAlyze, and MoneyGuidePro About Us
Moors & Cabot is an equal opportunity employer. All aspects of employment will be based on merit, competence, performance, and business needs. We do not discriminate on the basis of race, color, religion, marital status, age, national origin, ancestry, disability, medical condition, pregnancy, genetic information, gender, sexual orientation, gender identity or expression, veteran status, or any other status protected under federal, state, or local law. We utilize the Department of Homeland Security’s E-Verify program to confirm employment eligibility. Benefits
Total Rewards Benefits Package including Medical, Dental & Vision; Short Term and Long Term Disability; Employer-paid Life Insurance with options for additional coverage 401k plans Flexible Spending Accounts Critical Illness & Accident insurance Employee Discount Programs Employee Assistance Programs Identity Theft Protection Insurance PTO: Unlimited Flexible Work Schedule For reference, this posting uses standard job-seeking language and reflects current openings in the Naples, FL area.
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Position: Financial Advisor Location: Naples, FL (in-office, hybrid or remote options may be available depending on proximity to a branch) Note: This description reflects the responsibilities and qualifications for the role as posted. This is not an offer or contract. Role Summary
The Financial Advisor will oversee investment strategies for a diverse client base, designing and executing tailored financial plans to meet clients' customized goals and provide a holistic approach to financial planning. Role Description
The Financial Advisor is a member of the Moors & Cabot team focused on delivering high-quality service to help clients achieve their financial goals. The advisor embodies Moors & Cabot’s core values — Integrity, Service is Personal, One Team, Communication, and Initiative — in all responsibilities. This full-time role reports to the Branch Manager and operates Monday – Friday, 8:30 AM to 5:00 PM EST. Flexible work arrangements (remote, hybrid, in-office) may be available based on proximity to a branch and business needs and must be located within the state of Florida. Role Responsibilities
Develop and implement financial planning solutions for clients and perform complex research and financial analysis related to those solutions Build, maintain, and update client databases and financial plans Perform research for client portfolios using various software tools Stay current on investment products and market trends Utilize MoneyGuidePro in analyzing, drafting, and implementing financial plans based on client needs Provide strategic advice and manage money to reflect client risk tolerance, income, expenses, and assets Continuously monitor clients’ financial situations with detail and accuracy by monitoring portfolio transactions and addressing client portfolio inquiries Maintain and cultivate client relationships via approved mediums of communication Create and prepare detailed portfolio reviews, security analyses, and client delivery presentations for meetings Document and execute money moves — trades, deposits, ACH, wires, withdrawals, rollovers, etc. Cultivate relationships with wholesalers Utilize marketing and established business plans to increase book of business Plan networking opportunities to foster client opportunities Maintain working relationships with other business functions to ensure seamless business practices and troubleshoot problems when they arise (Compliance, Operations, IT, Training Center, etc.) Set performance expectations and goals for assigned Client Associate(s) in conjunction with the Branch Manager Provide feedback and mentorship to assigned Client Associate(s) regularly Adhere to and stay up to date on Compliance and firm policies Ensure and maintain good standing with all FINRA/SEC rules and regulations including licensure and continuing education requirements Keep up-to-date with the latest tax regulations and industry trends Be an active culture carrier and contribute to a positive team morale Key Measurements
Ability to meet annual production/revenue goals Maintenance and growth of client relationships and book of business Adherence to and limiting compliance risk and liability Overall success and satisfaction of the team, as applicable Minimum Requirements
7+ years of relevant experience within Financial Services Portable book of business FINRA SIE, Series 7 and 66 (63/65) Bachelor’s Degree or higher in Business, Finance, or related field A passion for financial markets Strong understanding of financial planning, portfolio management, and fiduciary investing concepts Prior experience with Financial Planning software Confident in using Microsoft Office Suite and Google Suite applications Comfortable taking initiative and being part of a team environment Ability to sit for long periods of time and lift up to 10 pounds Preferred Requirements
Experience with RBC, AOS, Nexus Trading, RedTail, RedOak, Wealthbox, Addepar, RightCapital, RiskAlyze, and MoneyGuidePro About Us
Moors & Cabot is an equal opportunity employer. All aspects of employment will be based on merit, competence, performance, and business needs. We do not discriminate on the basis of race, color, religion, marital status, age, national origin, ancestry, disability, medical condition, pregnancy, genetic information, gender, sexual orientation, gender identity or expression, veteran status, or any other status protected under federal, state, or local law. We utilize the Department of Homeland Security’s E-Verify program to confirm employment eligibility. Benefits
Total Rewards Benefits Package including Medical, Dental & Vision; Short Term and Long Term Disability; Employer-paid Life Insurance with options for additional coverage 401k plans Flexible Spending Accounts Critical Illness & Accident insurance Employee Discount Programs Employee Assistance Programs Identity Theft Protection Insurance PTO: Unlimited Flexible Work Schedule For reference, this posting uses standard job-seeking language and reflects current openings in the Naples, FL area.
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