Posted 13 days ago
Noviam Investment Advisor (Licensed -New York )
AI Summary
Investment Advisor at Noviam Inc. in New York, NY. Works alongside a Lead Advisor to service an established book of client relationships, leading client reviews, building pipeline, and eventually carrying own relationships. Focuses on retirement income, education funding, and distribution strategy.
About this role
Investment Analyst
New York, NY|Full-Time|In-Office|Career-Track
You already know the industry. What you may not have yet is a book of your own.
Most advisory seats hand you someone else's clients and call it a career. This one offers a process and a pathway to grow your own book of business, with your licensing, continuing education, and designations treated as the firm's investment rather than your expense.
At a glance
Location | New York, NY — in-office, five days a week |
Experience | 0–2 years in financial services |
Required licenses | SIE and Series 7 |
FIRM Sponsored | Series 66, continuing education, CFP® / ChFC® support |
Compensation | $60,000 – $80,000 base plus performance bonus |
Reports to | Lead Advisor |
The role
As a Noviam Investment Advisor, you work alongside a Lead Advisor, service an established book of client relationships, and take on more every quarter, leading client reviews, building pipeline, then carrying your own relationships. The work is real from week one: retirement income, education funding, distribution strategy, the decisions that determine whether a family sleeps at night.
The mix: roughly 70% servicing the existing book, 30% growth at the start, shifting toward growth as you ramp and your own relationships accumulate.
Minimum requirements
These are hard requirements. We review every application that meets them.
Experience | At least 2 years of professional experience in financial services: investment advisory, wealth management, brokerage, or retirement planning, in a client-facing or client-support capacity. |
SIE | Required. Securities Industry Essentials exam passed. |
Series 7 | Required. Active registration, or eligible for reinstatement under FINRA's Maintaining Qualifications Program. Please include your CRD number when you apply. |
Series 66 | Not required to apply. Sponsored and to be earned within 90 days of hire. Already hold the Series 66, or the 63/65 pair? You skip this step. |
Education | Bachelor's degree, or equivalent skills and work experience. |
Location | In-office, New York, NY, five days a week. This role is not remote or hybrid. |
Eligibility | Authorization to work in the United States and a clean regulatory record. U4 disclosures reviewed case by case. |
What you'll do
•Lead client progress reviews, with a Lead Advisor alongside you until you no longer need one.
•Build your own pipeline. Referrals, introductions, seminars, and community engagement are the foundation of the book you'll own.
•Own the meeting cycle. Prepare agendas and materials, run the follow-up, track every relationship's next step so nothing falls through.
•Coordinate with custodians on account opening, transfers, and maintenance, and process service paperwork accurately from start to finish.
•Keep records clean. Detailed, current, and compliant data in CRM and planning software.
•Communicate proactively, so clients never have to chase you for an answer.
•Translate strategy into plain English. The recommendation, the trade-offs, and how their risk tolerance shaped both.
•Show up for the team. Team meetings, seminars, networking events, continuing education.
•Follow our processes — and te
Skills
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