Confidential Client Investment Advisor - (New York City Based)
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. The advisor works closely with a Lead Advisor to conduct client reviews, develop a client pipeline, and provide comprehensive financial planning including retirement and education funding strategies. The firm supports licensing, continuing education, and professional growth, offering a clear career path from onboarding to leading teams.
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, Financial Services.
Applicants for this role may also receive access to additional matched opportunities through the Careertakes platform.
Role overview
Confidential Client is hiring an Investment Advisor to join a Manhattan, NY office (in-person, five days/week). This is a career-track, client-facing role working alongside a Lead Advisor to service and grow client relationships. The position includes sponsored licensing support (Series 66), continuing education, and opportunities to pursue CFP® / ChFC® credentials.
What you’ll do
- Lead and run client progress reviews alongside a Lead Advisor until independently responsible
- Build and maintain a pipeline via referrals, events, and community engagement
- Own the meeting cycle: prepare agendas/materials, manage follow-ups, and track next steps
- Coordinate with custodians on account openings, transfers, and maintenance
- Maintain accurate, compliant CRM and planning records
- Communicate proactively and translate recommendations into clear, client-friendly language
- Participate in team meetings, seminars, and continuing education
- Follow firm processes and provide constructive feedback to improve them
Minimum requirements
- Authorization to work in the United States
- Clean regulatory record; U4 disclosures reviewed case-by-case
- SIE — required (passed)
- Series 7 — required (active registration or eligible for reinstatement under FINRA’s Maintaining Qualifications Program). Include your CRD number when applying.
- Series 66 — not required to apply; firm will sponsor and expects it within 90 days of hire (or hold equivalent 63/65)
- Bachelor’s degree or equivalent skills/experience
- 0–2 years typical hiring range; ideally at least 2 years professional experience in financial services (investment advisory, wealth management, brokerage, retirement planning) in a client-facing or client-support capacity
- This role is in-office in Manhattan, NY (not remote/hybrid)
Compensation & benefits
- Base salary: $60,000 – $80,000 per year, plus performance bonus
- Sponsored Series 66: exam fees, materials, and study support
- Continuing education and licensing maintenance covered
- CFP® and ChFC® support available
- Health and dental insurance
- PTO plus all standard holidays
- Mentorship and hands-on coaching; a defined pathway to Investment Advisor Representative and leadership roles
Skills & attributes we look for
- Strong organization, follow-through, and communication
- Client-service mindset and coachability
- Comfort in a structured, fast-paced environment
- Entrepreneurial drive — desire to build your own book of business
- Experience with CRM and financial planning software
- Prior client-facing work in a fee-based or hybrid advisory setting is a plus
Career pathway
Confidential Client provides a staged pathway with clear readiness gates:
- Onboard — platform, products, compliance, shadowing from day one
- Register — sponsored Series 66 prep and exam support
- Ramp — joint client work and coaching until independent
- Build — transition to your own book with firm support
- Lead — mentor and run teams as your book and the firm grow
Culture & fit
High-energy, team-first culture that values professionalism, follow-through, positivity, accountability, growth mindset, and client care. This role is not the right fit if you want remote/hybrid work, are unlicensed (unless you apply to an entry-level sponsored program), prefer only servicing without prospecting, or dislike coaching and measurement.
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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