Title:
Internal Wholesaler and Investment Adviser Representative (for an independent SEC Registered Investment Adviser (RIA))Anticipated Start Date: July 2026 (exact date TBD)
Summary Description:
The Internal Wholesaler and Investment Adviser Representative will work on a salary plus bonus basis for an independent SEC Registered Investment Adviser and asset management firm based in Syosset, NY (on Long Island), in a hybrid remote/in-person format. This is a dual role that involves acting as both the internal wholesaler for our Separately Managed Account services (a business-to-business sales role) and as a junior advisor to existing retail investment advisory and financial planning clientele. The optimal candidate will be enthusiastic about working with people, developing relationships, learning new technical skills, and providing advice. Career Opportunities: Potential for future promotion to senior Investment Adviser Representative and/or External Wholesaler, with the possibility of transfer to other internal positions within the firm. Prior Work and Educational Requirements:
- Bachelor’s Degree required, Graduate Degree/ MBA preferred, CFP/CFA preferred.
- Minimum of 2 years experience working in the financial services industry (4+ years preferred).
- Experience working as a financial advisor and/or in a financial product sales role required.
- Experience working for an RIA or Asset Manager preferred.
- Must have at least basic digital marketing and phone sales skills (the more the better).Licenses:
-Series 65/66 Investment Advisory License REQUIRED (Must have or obtain during first 3 months of
employment).
-Series 7 or 6 securities licenses NOT PERMITTED (no broker-dealer affiliations).
-Must have/obtain Life Insurance License
Duties:- Become an Investment Adviser Representative of an independent SEC Registered Investment Adviser (RIA) and an Internal Wholesaler of an Asset Management firm.
- Learn proprietary firm methodologies and Separately Managed Account strategies to be applied to existing retail clientele and to prospective institutional/RIA/advisor clientele. Also learn techniques of financial planning for retail clientele.
- Work with senior Investment Adviser Representatives to serve, advise, enhance, and expand existing retail client investment advisory and financial planning relationships.
-Take instruction from senior IAR(s) to serve/advise existing retail clients.
-Manage inbound client requests and proactively perform client reviews/communications.
-Deepen and expand relationships with existing clients and their families.
- Work as an Internal Wholesaler (with an External Wholesaler) to develop new relationships with institutional/ RIA/ advisor clients and sell our Separately Managed Account (SMA) services.
-Actively market and sell SMA services to third party firms/advisors in coordination with the External Wholesaler.
-Provide internal support to External Wholesaler to follow up on sales leads and service requests.
-Leverage firm-level digital marketing tools to actively prospect via phone/email for new business-to-business clients.
-Generate proposals, facilitate processing, and manage implementation for new accounts and business relationships. Location and Time:
- The first 6+ months will be worked in-person full time at our office in Syosset, NY.
- After this initial training and trial period, the opportunity to switch to hybrid in-person/remote work will be provided.
- Hours of operation are 9:00am to 5:00pm Mon-Thursday, 9:00am-4:00pm on Fridays.
- The firm is closed on stock market/exchange holidays.
Compensation:- Salary (W-2): $50,000/year, with increase possible only after 1 year.
- Bonus: Participation in firm-level quarterly bonus pool after Series 65 license obtained.
- Insurance: 50% of Health Insurance cost is covered by employer; Long Term Disability Insurance is available.
- Retirement: 401(K) Plan (with employer match) and Profit Sharing Plan (once eligibility requirements met).
- Paid Time Off: 15 days per calendar year (inclusive of personal, vacation, and sick days). Days do not roll over to the following year if they go unused. All stock market holidays are observed by the firm (offices are closed).Application Submissions: Send your resume via email to info@4tfg.com. Include the job title “Internal Wholesaler and Investment Adviser Representative” in the subject line.
