Confidential Broker-Dealer & Registered Investment Adviser
Financial Advisor (Washington)
Confidential Broker-Dealer & Registered Investment Adviser, Washington, District Of Columbia, United States, 20022
Firm Overview
A well-established broker-dealer and registered investment adviser with a multi-office presence across the Mid-Atlantic region. The firm is known for its disciplined advisory culture, strong compliance infrastructure, and commitment to long-term advisor success. Leadership emphasizes professional autonomy, thoughtful growth, and maintaining high standards of client service and regulatory integrity.
The platform supports advisors who value stability, collaboration, and the ability to grow a practice within a relationship-focused environment.
Position Summary The firm is seeking experienced Financial Advisors or Advisor Teams to join its Washington, DC office. This role is designed for advisors with proven, portable books of business who are focused on transitioning and growing their client relationships within a well-supported W-2 advisory platform.
Advisors are expected to actively manage and expand their practices, maintain strong client relationships, and contribute to the firms long-term growth strategy.
Essential Duties and Responsibilities Transition and retain a portable book of client relationships Provide comprehensive wealth management and advisory services Manage client portfolios in alignment with fiduciary standards and firm policies Develop and grow new client relationships through referrals and business development Collaborate with internal trading, operations, compliance, and administrative teams Maintain compliance with SEC, FINRA, and firm supervisory requirements Deliver a high-touch, relationship-driven advisory experience
Qualifications
Experience Proven experience as a producing Financial Advisor Demonstrated ability to transition and retain client relationships Experience within a broker-dealer or RIA environment
Production & Portability Verified, portable book of business required Ability to provide verified trailing production documentation
Licensing Active FINRA registrations appropriate for advisory activity Ability to maintain all required licenses
Location & Office Expectations Willingness and ability to work from the Washington, DC office Regular in-office presence required
Compensation & Economics W-2 employment structure Full economics on: Transitioned client relationships Newly generated business Forgivable loan available, tied to tenure and production Performance-based components aligned with growth and retention
Benefits & Support Firm-paid administrative support Health insurance 401(k) plan Full operational, compliance, and trading support Established custodial platform
Platform & Investment Capabilities Broad traditional investment strategies Strong fixed income and municipal bond offerings Comprehensive wealth management platform
The platform supports advisors who value stability, collaboration, and the ability to grow a practice within a relationship-focused environment.
Position Summary The firm is seeking experienced Financial Advisors or Advisor Teams to join its Washington, DC office. This role is designed for advisors with proven, portable books of business who are focused on transitioning and growing their client relationships within a well-supported W-2 advisory platform.
Advisors are expected to actively manage and expand their practices, maintain strong client relationships, and contribute to the firms long-term growth strategy.
Essential Duties and Responsibilities Transition and retain a portable book of client relationships Provide comprehensive wealth management and advisory services Manage client portfolios in alignment with fiduciary standards and firm policies Develop and grow new client relationships through referrals and business development Collaborate with internal trading, operations, compliance, and administrative teams Maintain compliance with SEC, FINRA, and firm supervisory requirements Deliver a high-touch, relationship-driven advisory experience
Qualifications
Experience Proven experience as a producing Financial Advisor Demonstrated ability to transition and retain client relationships Experience within a broker-dealer or RIA environment
Production & Portability Verified, portable book of business required Ability to provide verified trailing production documentation
Licensing Active FINRA registrations appropriate for advisory activity Ability to maintain all required licenses
Location & Office Expectations Willingness and ability to work from the Washington, DC office Regular in-office presence required
Compensation & Economics W-2 employment structure Full economics on: Transitioned client relationships Newly generated business Forgivable loan available, tied to tenure and production Performance-based components aligned with growth and retention
Benefits & Support Firm-paid administrative support Health insurance 401(k) plan Full operational, compliance, and trading support Established custodial platform
Platform & Investment Capabilities Broad traditional investment strategies Strong fixed income and municipal bond offerings Comprehensive wealth management platform