TD · 3 months ago
Financial Advisor - New York, NY
New York, New York
Full-time
Onsite
Entry, Mid Level
$75K/yr - $112K/yr
2+ years expTD is one of the world's leading global financial institutions and is the fifth largest bank in North America. They are seeking a Financial Advisor who will provide financial planning guidance and sell investment management solutions while servicing the unique needs of TD Wealth clients.
BankingFinanceFinancial ServicesWealth Management
Responsibilities
Providing financial planning guidance & selling investment management solutions
Leveraging experience to service the unique and complex needs of TD Wealth clients by reviewing financial goals and making investment recommendations aligned to their client's goals
Serving as the central point of contact, responsible for providing client service & developing the relationship to achieve greater share of wallet by helping clients achieve their goals related to asset accumulation, preservation, growth, and protection
Demonstrating a commitment to being customer-centric by delivering legendary service during every customer interaction to maximize retention and growth
Ensuring 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
Partnering and promoting lead generation
Managing goals, prioritizing tasks and comfortable working in a fast paced environment
Ensuring all new & existing clients are provided with a planning experience
Effectively implementing 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
Serving as the primary point of contact for TD Wealth client relationships; managing all aspects of the client’s relationships with TD Bank and referring to Retail and Wealth partners & affiliates as needed
Implementing and executing a differentiated service model/experience for TD Wealth clients
Meeting quarterly and annual sales goals
Deepening wallet share by anticipating client needs and suggesting the most appropriate Wealth solutions
Identifying opportunities within your portfolio and network to refer business to Retail and Small Business/Commercial Partners
Executing in thorough manner that is compliant with regulations, policies and procedures
Adhering 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.)
Ensuring 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
Uncovering 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
Providing coaching, Wealth referral training & on-going feedback to Retail and Small Business staff
Contributing individually, as a team member and as a mentor to new FAs, to ensure strong performance, collaboration and enthusiasm
Representing TD Wealth to the general public in a professional manner
Being involved in the community and support TDBG charity and community initiatives
Qualification
Required
Bachelor's degree strongly preferred
2+ years of providing advice, planning and investment sales
SIE, Series 7, Series 63 required
Required to have L&H and Series 66 (or equivalent) or the ability to obtain all within the Licensing and Registration Schedule
Self-directed, with strong ability to plan own activities to achieve sales and referral goals
Advanced understanding of wealth products and services
Strong verbal and written communication skills
Strong organizational and time management skills
Ability to travel within assigned market to meet prospects, clients and partners five days a week
Ability to commute within assigned territory
Strong understanding of wealth management business development techniques
Strong understanding and experience interacting with retail and small business banking clients
Consultative sales experience required
Demonstrated ability to establish relationships and partner effectively with other departments
Proven ability to achieve sales goals
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
SVP, Chief Information Security Officer
Recent News
Investment News
2026-01-16
2026-01-16
2026-01-11
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