Wealth Management Analyst Trainee

About the Role

This is a twelve-month development program designed for individuals seeking a long-term career as a Wealth Advisor. Associates will join a centralized, licensed home office branch at the Dallas headquarters. The program focuses on real client and advisor work from day one, with training to become planning-led advisors.

Key Responsibilities

• Take client calls on the client-directed trading desk under supervision, including order-based conversations and account servicing.
• Provide home office client service and account support, including account openings, withdrawals, maintenance, and service requests.
• Provide coverage and service for unassigned client accounts.
• Once licensing and training are complete, work referral and lead flow from firm and affiliate sources to develop new client relationships.
• Utilize the firm's defined client process, from prospecting and discovery through plan delivery, close, onboarding, and ongoing service.
• Build, analyze, and present financial plans, with planning as the lead offering.
• Maintain accurate CRM activity, pipeline stages, and required fields according to the firm's process.
• Shadow client meetings and calls, and participate in weekly sales sessions and recorded role-play exercises.
• Complete one classroom week per month for the first five months, with written module checks and manager sign-offs.
• Work towards advisor succession, teaming, and junior-partner arrangements with established advisors as readiness is demonstrated.
• Adhere to all supervisory, compliance, reporting, audit, and retention standards, and escalate risk-related issues.
• Assist with special projects and initiatives as assigned.

Licensing And Certification Requirements

• SIE (Securities Industry Essentials) must be passed before the start date.
• Series 7 and Series 66 must be obtained within 120 days of hire.
• CFP® certification must be pursued. CFP® education begins after Series 7 and 66 completion, with continued progress required to remain in the program.
• Associates will not work in an advisor capacity until securities licensing is complete, CFP® education is underway, and all five training areas are completed and signed off.

Requirements & Tech Stack

• Proficient in Microsoft Office.
• Comfortable learning new technology platforms.

Qualifications

• Bachelor's degree required; Finance, Financial Planning, Economics, or Accounting preferred.
• Strong interest in building a long-term career as a Wealth Advisor.
• Client-facing aptitude with excellent verbal and written communication skills.
• Strong analytical, critical thinking, and quantitative skills.
• Able to work extended hours, including evening and off-hours shifts, to support client coverage.
• Able to work on-site at the Dallas, TX headquarters. Candidates outside Texas must relocate.
• Self-starter and quick learner who can follow a defined process and accept coaching.
• Detail-oriented with strong organizational and time management skills.
• Comfortable in a fast-paced, dynamic environment.
• Sound judgment, integrity, and a customer-focused mindset.