What Jobs are available for Wealth Management in the United States?

Job Description

ABOUT:

Becoming a financial advisor at Northwestern Mutual is a unique opportunity to start a business where you can help your clients achieve their goals through financial planning. On your path to becoming a financial advisor, you start as a financial representative focused on client-building and obtaining licenses. Our award-winning training programs equip you with the education, skill-building, and development strategies you need to be successful in building a financial planning practice that focuses on:

• Asset & Income Protection
• Education Funding
• Investment & Advisory Services
• Trust Services
• Retirement Solutions
• Business Needs Analysis

Northwestern Mutual’s proprietary planning software helps you educate your clients and deliver holistic financial plans—including investments for growth, insurance for protection, and annuities for guaranteed income in retirement—that helps you have a bigger impact on your clients and community. Becoming a business owner allows you to shape your workday around your life and achieve uncapped earning potential through a performance-based compensation structure.

We believe there’s more than one way to start, build, and grow your practice. As an entrepreneur, you can build your business in a way that aligns with your long-term vision and goals like opening an office, joining a sophisticated team, or becoming an advanced advisor.

RESPONSIBILITIES:

As a financial advisor, you will:

• Grow your client base by making new connections, maintaining a strong referral network, and providing a great client experience
• Build personalized, holistic financial plans tailored to every client’s unique needs
• Manage your client’s financial plans to help them achieve their goals
• Grow relationships with clients to support them through every stage of life

Training, licensing & designations

Northwestern Mutual has been recognized for maintaining one of the best-trained sales forces in the country. We are committed to your continued training and development throughout your career. That starts with our award-winning curriculum designed to support your first three years in the business. In the program, you’ll hear from industry experts, learn the art of client acquisition to drive longevity in the career, and have access to our national network of tenured financial advisors to learn the business through first-hand experience.

COMPENSATION & BENEFITS:

• Performance-based earnings and revenue 1 :
• Average advisor annual earnings of $61K-$19K (based on company average for representatives in the first 3 years)
• Top 25% advisor annual earnings of 137K- 250K (based on company data for top quartile advisors in the first 3 years)
• Additional income structure to support training and early development
• Renewal income earned for continued client support and policy management
• Bonus programs and expense allowances
• Support for insurance licensing, Securities Industry Essentials®, Series 6, Series 7, Series 63, and more
• Certified Financial Planner® licensing support 2
• Fully company-funded retirement package and pension plan
• Competitive and comprehensive medical, vision, and dental plans
• Life Insurance and Disability Income Insurance
• Parental benefits at every stage of family planning

QUALIFICATIONS:

You could be right for this opportunity if you have:

• Bachelor’s degree
• Entrepreneurial ambitions to be a business owner
• History of success in relationship-building or client-facing roles
• Excellent time-management skills
• Desire for continuous learning and collaboration
• Proficient critical thinking skills
• Strong communicator and interpersonal skills
• Strong sense of motivation and drive
• Legal authorization to work in the US without sponsorship

Our Financial Advisors are valued partners and proud business owners. As such, they are considered independent contractors 3 for income tax purposes, and a statutory employee for Federal Insurance Contributions Act (FICA) tax purposes.

Northwestern Mutual is the marketing name for The Northwestern Mutual Life Insurance Company (NM) and its subsidiaries, including Northwestern Long Term Care Insurance Company (NLTC), Northwestern Mutual Investment Services, LLC (NMIS) (Investment Brokerage Services), a registered investment adviser, broker-dealer, and member of FINRA and SIPC, and Northwestern Mutual Wealth Management Company® (NMWMC) (Investment Advisory Services), a federal savings

Job Description

Capstone Financial Group is a private investment planning and wealth management practice with multiple offices throughout the Midwest. We provide financial advisory, retirement planning, and investment services to clients. We are seeking an Investment Client Associate to support our continued growth in Devils Lake, ND!

This role requires an organized and energetic professional who does not mind wearing multiple hats. The ideal candidate would have experience handling a wide range of administrative, financial, and office support-related tasks. We are seeking someone well organized, who enjoys a busy workday and is outgoing. Applicants with a background in financial services or the brokerage industry will be given preference. Candidates with banking, insurance, or office administration experience will also be considered.

WHAT YOU’LL BE DOING:

● Assisting a Financial Advisor in a branch location, providing top-tier service to clients.

● Scheduling meetings, answering phone calls and emails, along with other general office tasks.

● Opening new accounts, processing

Job Description

Answer phone calls and either redirect to coworkers or take a message

Compose & Produce reports from different programs

Utilize financial modeling programs to build investment proposals

Prepare mailings to send out

File client paperwork

Shredding

Use word and Excel

Record company expenses every month using Quickbooks

*The company reserves the right to add or change any duties at any time

Job Description

Company Overview

We are an independent, fee-based investment advisory firm located in Worcester, MA. We specialize in active management and capital preservation, managing approximately $650 million for high-net-worth individuals, families, and institutions. We’re not your ordinary firm. What sets us apart is our commitment to delivering honest, no-nonsense financial advice that empowers clients to protect and grow their wealth in a rapidly changing economic landscape. We challenge conventional financial systems, prioritize transparency, and reduce our clients’ fear and anxiety by incorporating financial therapy–like principles focused on safety, security, and growth. We have a top decile growth trajectory and a national client base that’s not limited by our geography. You’ll be joining a close-knit, mission-driven team that takes pride in doing meaningful work and showing up for each other. We foster a culture where your contributions matter, your ideas are valued, and your work directly supports the success of our clients and our team.

Role Overview

Our advisory team is growing, and we are seeking a dedicated Financial Advisor to support our lead advisors, manage client relationships, and provide tailored financial planning and investment solutions. You will nurture our strong and consistent referral streams and service and support our existing set of clients, while deepening and expanding those relationships. You will support the discovery and onboarding process with prospective and new clients, prepare for and participate in client meetings, provide clear, actionable advice in line with our firm’s mission, follow up on any action items, and take ownership to manage client expectations and deliverables. You are the opposite of a traditional advisor, have enough experience in front of clients that you are confident in almost any scenario, and are excited about advancing your career in a growing, forward-thinking firm.

Key Responsibilities

• Prospect & Referral Pipeline Management : Monitor and cultivate incoming warm leads from our highly productive referral networks, converting prospects into clients by understanding and addressing their needs. This role does not require cold calling.
• Client Reviews : Conduct periodic reviews to track changes in clients’ financial situations, analyze plan performance, and recommend strategy adjustments.
• Client Support : Assist lead advisors by conducting client research, preparing for meetings, and delivering ongoing service to ensure an exceptional client experience.
• Financial Planning : Interview clients to assess income, expenses, risk tolerance, and goals; prepare financial plans using firm software.
• Client Engagement : Build and maintain deep client relationships through regular communication (in-person, phone, email), addressing inquiries and adapting plans to evolving needs.
• Compliance & Ethics : Adhere to regulatory standards and the firm’s compliance policies, maintaining high ethical standards and client confidentiality.
• Team Collaboration : Work closely with the client service team and participate in coaching from lead advisors to develop client acquisition and advisory skills.
• Additional Duties : Handle follow-up tasks, set client appointments, and perform other duties as needed, with potential for limited travel.

Skills & Requirements

• Bachelor’s degree in Finance, Economics, or analytical field preferred.
• CFP, CFA, or FINRA Series 66 license or equivalent a plus.
• 3-10 years in financial advisory, wealth management, or related fields, with an investment philosophy that values tactical strategies.
• Proficiency in industry-specific software (CRM, financial planning, and investment analysis tools) required; familiarity with Schwab, Advyzon, and RightCapital is a plus.
• Strong analytical skills to interpret market trends and economic cycles.
• Exceptional interpersonal and communication skills for clear, jargon-free client interactions.
• Strong organizational and prioritization skills to manage multiple tasks effectively.
• Comfortable with presentations and client-facing interactions (in-person and virtual).
• Alignment with our skepticism of current financial markets and commitment to capital preservation.
• Team-oriented, reliable, and client-focused.
• Detail-oriented, adaptable, and passionate about delivering ethical, impactful financial advice.

The Financial Advisor is a full-time, W-2 position. Base compensation ranges from $5,000 to 110,000 plus bonus potential, depending on experience. Additional benefits include medical insurance, unlimited paid time off, paid holidays, 401(k) with match, career growth, and a hybrid work schedule (up to two remote days per week).

Job Description

We are looking for Experienced Advisors to join our Team

You've built a successful practice and now you want more. At Prudential Advisors we want to help you grow your business and be a resource to you and your clients.

Prudential will provide you with the tools, the products, and a platform to deliver an outstanding client experience. Together, we help you achieve your goals through:

• Our open architecture platform for client solutions

• Our competitive payouts

• Our practice building support

We know that making a move is a big decision. We support you by offering financial packages designed to make your transition to Prudential as smooth as possible. Let’s have a confidential conversation today.

When joining Prudential Advisors, we offer

• Pension Enhancement for Top Financial Professionals

• Prudential Employee Savings Plan (PESP) - 401(k)

• Cash Balance Pension Plan

• Medical, Dental, and Vision benefits

• Robust compensation packages

• Transition support

• Practice Building programs

• Access to Prudential clients

PAMR-244

Prudential Advisors is a brand name of The Prudential Insurance Company of America and its subsidiaries.

Prudential is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, genetics, disability, age, veteran status, or any other characteristic protected by law. EEO IS THE LAW. The Prudential Insurance Company of America, Newark, NJ, and its affiliates.

Prudential is an Employer that participates in E-Verify.

Prudential, the Prudential logo, and the Rock symbol are service marks of Prudential Financial, Inc., and its related entities, registered in many jurisdictions worldwide.

At Prudential, EQ is as valuable as IQ and there’s zero tolerance for bullies. We’ve evolved a lot over the years, but respect and collaboration have always been at the core of our culture. Come and explore the exciting opportunities ahead and play an integral role in shaping our future and growing yours.

At Prudential, EQ is as valuable as IQ and there’s zero tolerance for bullies. We’ve evolved a lot over the years, but respect and collaboration have always been at the core of our culture. Come and explore the exciting opportunities ahead and play an integral role in shaping our future and growing yours.

Job Description

Associate Wealth Management Advisor – St. Cloud, MN

Stone Arch Advisory Group is currently looking for an Associate Wealth Management Advisor to join their Award Winning Team (Forbes 2025 Best-In-State Wealth Management Teams)!

The primary responsibility of the advisor is to regularly review a group of existing client’s financial planning and investment strategies, ensuring they are continually meeting the best interests of the client. This individual will also sit second chair to a partner/first chair advisor, providing support in client meetings and help support the planning initiatives recommended to clients in meetings. They will present a positive and truthful image of Stone Arch Advisory Group when engaging with clients and the community. The ideal candidate will have a strong sense of autonomy, urgency, attention to detail, and initiative, with a desire to bring their best every day.

Core Expectations Include (not limited to):

• Consistent and timely client communication through regular phone calls, emails, and meetings
• Client relationship development and management, maintaining effective relationships, gaining client’s trust and confidence
• Maintaining a positive, professional, and team-focused attitude while working internally with team members and externally with clients
• Explaining investment products and/or investment performance to existing clients, making recommendations on changes as needed
• Accepting redemptions/withdrawals from clients, discussing tax consequences, costs, and fees
• Develop and become well versed on life, annuity, and long-term care products available to clients through Northwestern Mutual and outside brokerage firms utilized by Stone Arch Advisory Group
• Clear understanding of planning software and presentations, including, but not limited to: Retirement projections (PX), Life/Disability/Long -Term Care needs analysis, and retirement income distribution strategies
• Identifying and solving for the client's financial planning needs as it pertains to Insurance (Life, DI, LTC), Annuities, Asset accumulation strategies, and analysis
• Clear communication of recommendations to the team, ensuring a smooth process and client experience
• Completion of compliance tasks, such as:
  • Dictating and documenting client meetings and conversations, creating a record of them by saving in CRM and electronic client folders
  • Maintaining client records by keeping them current, making updates as needed
  • Maintaining CE credits and certifications, and staying aware of deadlines to keep certifications, licenses, and designations active and in good standing
• Administrative functions, such as:
  • Maintaining own calendar
  • Meeting scheduling and coordination
  • Sending Zoom calendar invites to clients
  • Staying informed on technology changes and procedures when conducting business
  • Proficient with Microsoft Office, CRM, and other software and tools as needed

Qualifications:

• Undergraduate degree in finance, business, or sales preferred
• Successful 5+ years’ experience as a wealth management advisor
• Series 7 & 66/63 registered
• MN State Life, Accident & Health licensed (or the ability to obtain within 2 months)

Top Traits of Most Successful Candidates:

• Highly self-aware
• Polished and professional
• High degree of initiative and autonomy – values freedom
• Ability to positively influence others
• Persistent --sees things through to completion
• Natural socializer and enjoys presenting and educating others
• Flexible, but has a high level of self-control
• Values interdependence, but also appreciates and values working with a team
• Excellent coping skills and highly resilient

Top Skills of Most Successful Candidates:

• Solid critical thinking, financial analysis, and problem-solving skills
• Knowledgeable in economic and market conditions
• Excellent oral and written communication skills

Contracting Requirements:

You will be employed by Stone Arch Advisory Group and will have an Associate Financial Representative Contract. A General Securities Registered (Series 7) certification is required. The incumbent must be contracted to the Northwestern Mutual Wealth Management Company (NMWMC) as an Associate Wealth Management Advisor (AWMA) and complete appropriate contracting and registration requirements, which include completion of Northwestern Mutual Signature advisory training.

Preferred Designations:

• CFP
• CHFC
• CLU
• RICP
• WMCP

Job Description

We are a client-focused, boutique financial advisory firm located in Annapolis. Since our founding in 2009, we’ve been dedicated to helping individuals and families build, manage, and preserve their wealth. Our team provides personalized financial planning, investment management, and retirement strategies tailored to each client’s unique needs. We’re passionate about building lasting relationships and helping clients feel confident in their financial decisions. By simplifying the complex and focusing on what truly matters, we guide clients through every stage of their financial journey. As we continue to grow, we’re seeking an organized, proactive, and highly professional Administrative Assistant to support two of our lead financial advisors. This is an exciting opportunity to make a meaningful impact on the continued growth and success of our firm. Our team truly enjoys working together and takes pride in supporting one another to create an exceptional experience for both our clients and one another.

As the main point of communication between our lead financial advisors and clients, your warmth, positivity, and genuine care will help set the tone for their entire experience. You will represent the firm with professionalism in every interaction and appropriately handle client requests, knowing when to bring matters to the advisors’ attention. Ensuring the efficiency and effectiveness of our daily operations, you will work closely with both advisors to provide administrative support, coordinate client communications, manage scheduling, and assist with documentation and follow-up tasks. This position requires discretion, strong attention to detail, and the ability to manage multiple priorities with minimal supervision. You are someone who can confidently manage multiple calendars, navigate and anticipate changes, and coordinate across people and time zones, all while keeping communication clear and details organized. We are looking for someone who enjoys supporting others and brings kindness and thoughtfulness to their work. We are a growing firm, and this position offers the opportunity to evolve into different career paths over time. However, we are equally open to someone who finds fulfillment in this type of position and would like to remain in it long term.

Responsibilities & Activities

• Greet clients and prospective clients in a friendly and sincere manner, making them feel comfortable when they visit the office
• Provide high-level administrative support to the lead financial advisors and licensed team members
• Manage and maintain complex calendars, scheduling client meetings and internal appointments
• Draft, proofread, and format professional emails and communications
• Maintain accurate client information in CRM, updating changes and documenting all activities
• Assist with onboarding new clients, including gathering and organizing necessary documentation
• Facilitate client instructions, including forms and follow up
• Follow up on action items from meetings with clients and vendors
• Coordinate travel arrangements and event planning, as needed
• Perform general office duties including filing, scanning, and managing electronic records

Knowledge, Skills, & Abilities

• High School Diploma or GED required; Bachelor’s degree in business administration, finance, or a related field preferred
• 1-3 years of proven experience in a professional setting as a receptionist, executive assistant, or administrative assistant strongly preferred
• Excellent organizational and time management skills and strong documentation habits
• Exceptional written and verbal communication skills
• Highly attuned to client preferences and able to recall personal details that enhance the client relationship
• Strong technology skills and proficiency in Microsoft Office Suite (Word, Excel, Outlook, PowerPoint) required; CRM (Redtail) software experience preferred
• Experience with financial planning software (e.g., eMoney, MoneyGuidePro) is a plus
• High level of professionalism and confidentiality, with a strong attention to detail
• Highly organized and adaptable, with the ability to multitask and shift between responsibilities throughout the day
• Superior phone skills; friendly and helpful in all interactions on the phone
• Ability to prioritize and solve problems while maintaining composure and focus
• Attendance is an essential function

What We Offer

• Competitive base compensation of $60K-$75K, depending on experience
• Bonus potential based on individual and firm performance
• 401(k) with company match, and annual profit sharing
• Paid time off and holidays
• A collaborative and professional work environment
• Opportunities for growth and continued learning in the financial services industry

Job Description

Undergraduate degree in a related field of study preferred. Working knowledge of investments/securities. Completion of Cannon Trust Schools I, II, and II or equivalent knowledge from other industry training or equivalent experience.

A minimum of five (5) years’ experience in personal trust administration.

Demonstrated sales accomplishments in high net worth market; experience as a professional subject-matter-expert presenter; JD, CTFA, or CFP; CPA.

• Proficient reading, writing, grammar, and mathematics skills.
• Developed interpersonal, communicative, and sales skills with a strong customer focus.
• PC skills.
• A thorough knowledge of current brokerage regulations.
• Visual and auditory skills.
• Valid driver's license.

Serve as a recognized fiduciary expert on the relationship management team and within assigned markets, providing insights and solutions to attract, retain and grow clients who require complex strategies to protect, grow and transition personal and family wealth. Execute on client wealth plans by maintaining a high net worth book of business to high professional standards. Actively produce new revenue both as a contributor and individually.

Essential Duties

1. Maintain deep expertise in fiduciary, investment, tax, and other related areas
2. Design and deliver sophisticated fiduciary solutions, using the relationship team model, to high net worth clients with complex financial needs

1. Administer complex fiduciary accounts and related agency and IRA accounts
2. Analyze and interpret legal instruments
3. Apply sound fiduciary judgement to trust matters individually and within activities of assigned Communities
4. Ensure the retention of business and fulfillment of State