TD · 2 hours ago
Financial Advisor - Rego Park, NY
New York, NY
Full-time
Onsite
Entry, Mid Level
$75K/yr - $112K/yr
2+ years expTD is one of the world's leading global financial institutions, and they are seeking a Transitional Financial Advisor to provide financial planning guidance and investment management solutions. The role involves servicing the unique needs of clients in the Mass Affluent segment, ensuring a comprehensive onboarding experience, and managing client relationships to achieve their financial goals.
BankingFinanceFinancial ServicesWealth Management
Responsibilities
Experience selling investments and providing financial plans
Demonstrates a commitment to being customer-centric by delivering legendary service during every customer interaction to maximize retention and growth
Ensures all NEW clients receive the complete on-boarding experience, which includes: a thorough client discovery, completion of a financial needs analysis to provide goals-based advice, an introduction to the centralized client servicing team as per client need, and completion of all requisite client documents
Ability to partner and promote lead generation
Manages goals, prioritizes tasks and comfortable working in a fast paced environment
Ensures all new & existing clients are provided with a MA Planning Experience
Effectively implement a process to ensure every client receives an Annual Client Review (ACR) meeting with an enhanced agenda focused on the client’s overall wealth needs, as well as pro-active contacts
Serves as the primary point of contact for TD Wealth client relationships for MA segment; manages all aspects of the client’s relationships with TD Bank and refers to Retail and Wealth partners & affiliates as needed
Implements and executes a differentiated service model/experience for MA clients
Meets quarterly and annual sales goals
Deepens wallet share by anticipating client needs and suggesting the most appropriate Wealth solutions. Maximizes profitability, while ensuring the client receives an exceptional client experience
Identifies opportunities within your portfolio and network to refer business to Retail and Small Business/Commercial Partners
Executes in thorough manner that is compliant with regulations, policies and procedures
Adheres to all federal, state, SRO regulations and Firm policies related to all business activities (e.g. OCC, SEC, State Insurance Commissioners, NY Department of Financial Services, etc.)
Ensures all Continuing Education requirements are attained
Responsible for understanding and adhering to TD Bank & TD Wealth Policies and Procedures
Responsible for implementing TD’s Customer Identification Program (CIP) by collecting and verifying required customer identification information, and performing other Customer Due Diligence and Enhanced Due Diligence Requirements as outlined in the Business Unit AML procedures
Uncovers client's asset and transitions higher threshold clients to appropriate HNW Wealth partners as needed
Responsible for fostering and contributing to a positive and constructive work environment with a focus on supporting the overall Wealth team
Provides coaching, Wealth referral training & on-going feedback to Retail and Small Business staff
Contributes individually, as a team member and as a mentor to new FAs, to ensure strong performance, collaboration and enthusiasm
Represents TD Wealth to the general public in a professional manner
Is involved in the community and support TDBG charity and community initiatives
Qualification
Required
4-year degree required or equivalent work experience
2+ years of selling investments & providing financial planning with a track record of success
In-depth knowledge of investment products and services
Required Registrations: SIE, Series 7 and Series 65/66 required – if the TFA only has 65 they will be required to obtain a 63 or 66 within the Licensing & Registration Schedule
Required Life/Health Licenses or ability to obtain within Licensing & Registration Schedule
Advanced understanding of wealth management business development techniques, products, services and overall industry
Proven ability to achieve sales goals
Proficient with retail and small business banking
Proven ability to establish relationships and partner effectively with other departments within TD Bank, America's Most Convenient Bank
Ability to travel within assigned Market to meet prospects, clients and partners; up to 75% of time
Driver's License required
Benefits
Health and well-being benefits
Savings and retirement programs
Paid time off (including Vacation PTO, Flex PTO, and Holiday PTO)
Banking benefits and discounts
Career development
Reward and recognition
Company
The Toronto-Dominion Bank & its subsidiaries are collectively known as TD Bank Group (TD).
10001+ employees
H1B Sponsorship
TD has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2022 (1)
2020 (6)
Funding
Current Stage
Late StageTotal Funding
$65MKey Investors
U.S. Department of the Treasury
2023-10-03Grant· $65M
Leadership Team
Brian Jacobson
Chief of Staff to the CEO, TD Bank, America's Most Convenient Bank
F
Foster Glenn
Senior Vice President Technology and Data Risk Management
Recent News
2025-12-29
2025-12-17
Company data provided by crunchbase