Confidential Client Investment Advisor - (New York City Based) (New York)
The Confidential Client Investment Advisor role is a full-time, in-office position based in New York City, focused on building and managing a personal book of client relationships in financial advisory services. Working alongside a Lead Advisor, the candidate will lead client reviews, develop a client pipeline, and progressively take ownership of client relationships while receiving firm-sponsored licensing and continuing education support. This career-track position emphasizes client service, compliance, and professional growth within a structured, fast-paced environment.
About Careertakes
👉 Important disclosure: Careertakes is a third-party recruiting platform supporting this hiring process. If selected, you will be employed directly by our client, Accounting & Finance.
Applicants for this role may also receive access to additional matched opportunities through the Careertakes platform.
At a glance
- Location: Manhattan, NY — in-office, five days a week
- Experience: Minimum 2 years in financial services (investment advisory, wealth management, brokerage, or retirement planning)
- Required licenses: SIE and Series 7 (active or eligible for reinstatement)
- Firm-sponsored: Series 66, continuing education, CFP® / ChFC® support
- Compensation: $60,000 – $80,000 base plus performance bonus
- Reports to: Lead Advisor
Minimum requirements
These are hard requirements. We review every application that meets them.
- At least 2 years of professional experience in financial services in a client-facing or client-support capacity
- SIE — required (passed)
- Series 7 — required (active registration or eligible for reinstatement under FINRA MQP). Please include your CRD number when you apply.
- Series 66 — not required to apply; sponsored and expected to be earned within 90 days of hire (or hold Series 63/65 instead)
- Bachelor's degree or equivalent skills/experience
- Authorization to work in the United States and a clean regulatory record (U4 disclosures reviewed case-by-case)
- This is an in-office role in Manhattan, NY (no remote/hybrid)
What You’ll Do
- Lead client progress reviews, initially alongside a Lead Advisor until fully independent
- Build and grow your own pipeline via referrals, community engagement, seminars, and introductions
- Own the meeting cycle: prepare agendas/materials, follow up, and track each relationship’s next steps
- Coordinate with custodians on account openings, transfers, and maintenance; process paperwork accurately end-to-end
- Maintain detailed, current and compliant records in CRM and planning systems
- Communicate proactively so clients never have to chase answers
- Translate strategy and trade-offs into clear, plain-English recommendations for clients
- Participate in team meetings, client events, and continuing education; follow processes and suggest improvements
Career pathway
A defined, staged sequence with readiness gates at each step:
- Onboard — platform, products, client protocols, compliance; shadowing and joint work from week one
- Register — sponsored Series 66 preparation with SME instruction, practice exams, and study time
- Ramp — take client reviews with your Lead Advisor, then independently with hands-on coaching and feedback
- Build — transition to a fully registered Investment Advisor Representative, owning client relationships with firm support and a mentor
- Lead — top performers mentor others and build teams; promotions come from within
Compensation & benefits
- Base salary: $60,000 – $80,000 plus performance bonus
- Sponsored Series 66: exam fees, study materials, and structured support
- Continuing education and licensing maintenance covered
- Support to pursue CFP® and ChFC® designations
- Health and dental insurance
- PTO plus all company holidays off
- Mentorship and joint work with senior advisors
- Clear path to grow your book, compensation upside as you convert and retain clients
Who we’re looking for
- Strong organizational skills, excellent communication, and consistent follow-through
- Client-service mindset and coachability regardless of experience level
- Comfortable in a structured, fast-paced, accountable environment
- Entrepreneurial drive — you want to build a book, not queue for work
- Experience with CRM and financial planning software preferred
- Prior client-facing experience in fee-based or hybrid advisory settings is a plus
This role is not a fit if…
- You want remote or hybrid work — this role is office-based in Manhattan five days a week
- You do not hold SIE and Series 7 (unless eligible for reinstatement as noted)
- You prefer only servicing and never prospecting — growth is expected from day one
- Organization, follow-through, or being coached are not strengths for you
- You’re seeking a short-term or purely administrative role
About the Confidential Client
Confidential Client builds careers, not just roles. The firm combines tech-forward tools with a people-first approach: structured training, sponsorship for licensing, and long-term development are core to how the firm operates. The client prioritizes access, mentorship, and measurable pathways for advisors to grow into Investment Advisor Representatives and leaders.
Equal Opportunity & Hiring Transparency
Careertakes and our client are Equal Opportunity Employers committed to building a diverse and inclusive workforce. We prohibit discrimination or harassment of any kind.
To support a fair and efficient hiring process, AI tools may be used to assist with application review or resume screening. These tools do not replace human decision-making. Final hiring decisions are made by people.
If you have questions about how your data is used, please contact us directly.
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