Confidential Broker-Dealer & Registered Investment Adviser
Financial Advisor (Cambridge)
Confidential Broker-Dealer & Registered Investment Adviser, Cambridge, Maryland, United States, 21613
Firm Overview
A privately held broker-dealer and registered investment adviser with a long-standing reputation in fixed income, municipal securities, and wealth management. The firm operates a relationship-driven advisory model emphasizing succession planning, advisor continuity, and long-term client stewardship.
The organization is intentionally selective, prioritizing advisor quality, verified portability, and cultural alignment over rapid scale. Leadership focuses on building durable advisory franchises rather than competing in short-term recruiting bidding environments.
Position Summary Seeking experienced Financial Advisors to join its Maryland platform as part of a long-term succession and continuity strategy. This role is designed for advisors with proven, portable books of business who are interested in both transitioning their existing clients and assuming responsibility for a significant, established client base through succession.
This is a W-2 advisor role within a fully supported broker-dealer and RIA environment. Advisors are expected to be actively engaged in client service, relationship retention, and long-term franchise building, with meaningful economics from day one.
Essential Duties and Responsibilities Transition and retain a portable book of client relationships Assume responsibility for and service a substantial existing book of client relationships through succession Provide comprehensive wealth management and advisory services to individuals and families Manage client portfolios in alignment with fiduciary standards and firm policies Participate in long-term succession planning and advisor continuity initiatives Collaborate with internal trading, operations, compliance, and administrative teams Maintain compliance with SEC, FINRA, and firm supervisory requirements Build and sustain long-term client relationships through a relationship-driven advisory approach
Qualifications:
Experience Proven experience as a producing Financial Advisor Demonstrated ability to transition and retain client relationships Prior experience managing client portfolios within a broker-dealer or RIA environment
Production & Portability Verified, portable book of business required Ability to provide verified trailing production documentation Willingness to participate in succession and inherited client relationships
Licensing Active FINRA registrations appropriate for advisory activity Ability to maintain all required licenses and registrations
Location & Office Expectations Willingness and ability to work from a local office as required Regular in-office presence expected for client service and collaboration
Compensation & Economics W-2 employment structure Full economics on: Transitioned client relationships Inherited client relationships Newly generated business Forgivable loan available, tied to tenure and production Performance-based components tied to successful asset transition and ongoing production
Benefits & Support Firm-paid administrative assistant support, not deducted from advisor payout Health insurance 401(k) plan Full operational, compliance, and trading support Established custodial platform with flexibility where appropriate
Platform & Investment Capabilities Broad traditional investment strategies Strong fixed income and municipal bond capabilities Comprehensive wealth management platform supporting long-term client needs
Additional Notes (Inherit Assets Under Management) This role offers a rare opportunity to assume responsibility for a large, established client base as part of a structured succession plan, while retaining full economics and operating within a stable, advisor-focused platform. Cultural alignment, verified production, and long-term intent are critical to success in this role.
The organization is intentionally selective, prioritizing advisor quality, verified portability, and cultural alignment over rapid scale. Leadership focuses on building durable advisory franchises rather than competing in short-term recruiting bidding environments.
Position Summary Seeking experienced Financial Advisors to join its Maryland platform as part of a long-term succession and continuity strategy. This role is designed for advisors with proven, portable books of business who are interested in both transitioning their existing clients and assuming responsibility for a significant, established client base through succession.
This is a W-2 advisor role within a fully supported broker-dealer and RIA environment. Advisors are expected to be actively engaged in client service, relationship retention, and long-term franchise building, with meaningful economics from day one.
Essential Duties and Responsibilities Transition and retain a portable book of client relationships Assume responsibility for and service a substantial existing book of client relationships through succession Provide comprehensive wealth management and advisory services to individuals and families Manage client portfolios in alignment with fiduciary standards and firm policies Participate in long-term succession planning and advisor continuity initiatives Collaborate with internal trading, operations, compliance, and administrative teams Maintain compliance with SEC, FINRA, and firm supervisory requirements Build and sustain long-term client relationships through a relationship-driven advisory approach
Qualifications:
Experience Proven experience as a producing Financial Advisor Demonstrated ability to transition and retain client relationships Prior experience managing client portfolios within a broker-dealer or RIA environment
Production & Portability Verified, portable book of business required Ability to provide verified trailing production documentation Willingness to participate in succession and inherited client relationships
Licensing Active FINRA registrations appropriate for advisory activity Ability to maintain all required licenses and registrations
Location & Office Expectations Willingness and ability to work from a local office as required Regular in-office presence expected for client service and collaboration
Compensation & Economics W-2 employment structure Full economics on: Transitioned client relationships Inherited client relationships Newly generated business Forgivable loan available, tied to tenure and production Performance-based components tied to successful asset transition and ongoing production
Benefits & Support Firm-paid administrative assistant support, not deducted from advisor payout Health insurance 401(k) plan Full operational, compliance, and trading support Established custodial platform with flexibility where appropriate
Platform & Investment Capabilities Broad traditional investment strategies Strong fixed income and municipal bond capabilities Comprehensive wealth management platform supporting long-term client needs
Additional Notes (Inherit Assets Under Management) This role offers a rare opportunity to assume responsibility for a large, established client base as part of a structured succession plan, while retaining full economics and operating within a stable, advisor-focused platform. Cultural alignment, verified production, and long-term intent are critical to success in this role.