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Financial Advisor

About Wealth Enhancement

Wealth Enhancement is an independent wealth management firm with an endless passion for enriching the lives of our clients. We continually seek to perfect our craft of personalized financial planning with our team-based Roundtable and UniFi processes that go far beyond the standard approach. We proudly provide unique financial plans and investment management services to over 75,000 households from our over 100 offices - and growing - nationwide.

Since 1997, Wealth Enhancement has tirelessly raised the standard of wealth management with specialized knowledge and more attentive service that helps every client craft their future. For more information, please visit www.wealthenhancement.com.

Our Napa Valley office in CA is looking for a Financial Advisor working as part of an advisory team to help clients achieve their financial goals, provide client service that exceeds the client’s expectations. Our team members work together to meet company objectives for customer service quality, client retention and sales growth.

In the spirit of pay transparency, we are excited to share that the base salary range for this position is $120,000-$130,000, exclusive of bonuses and benefits. This position is also eligible for a variable compensation and participation in our equity program.

WEG hires employees and makes decisions about their salary qualifications based on factors such as: the role to be performed; educational and professional experience, qualifications, skills and credentials; tenure, cost-of-living and demand for the role in the applicable market. We encourage you to apply and provide us with your compensation expectations when you do. We’re big on open conversations, so, let’s have one.

Primary Job Functions

Manage client relationships and assist senior advisors with management of complex clients to the WEG planning-based standard of identity

  • Facilitate the financial planning process

  • Discover a prospect or client’s values, goals and objectives

  • Understand their current financial situation

  • Engage them in the financial planning process

  • Prepare and conduct annual reviews, including both planning and investment topics

Source and close prospective clients

  • Proactively follow up with clients who have not implemented financial plan

  • Close leads provided by various WEG channels (Marketing, CRP, etc.)

  • Create opportunities within your network

  • Drive referrals from existing clients

Manage client relationships and client service as needed

  • Assist the Financial Advisor during client meetings and with follow-up

  • Take meeting notes and promptly enter into the CRM

  • Present financial advice or plan to client with the Financial Advisor

  • Meet with client to obtain additional planning information, or to clarify/confirm information provided

  • Analyze client’s current investments and insurance policies

  • Placing trades and account management

Participate in Wealth Enhancement Group trainings, educational events, coaching programs, and proficient in advisor/client facing technology

Adherence to the Wealth Enhancement Group’s Corporate Communication Strategy and in good compliance standing

Education/Qualifications

  • Requires a 4-year degree; business, finance, economics preferred

  • Advanced designation required (CFP, CPA, MBA, etc.)

  • Series 7, 66 (BD/RIA)

  • Series 65 (RIA Only)

  • Insurance Licenses

  • 4+ years of experience within the wealth management industry

  • Ability to source and convert prospects to clients and provide high-level planning-oriented service

  • Possess excellent analytical, organizational, and communication skills (both oral & written)

  • Ability to manage multiple projects at once

  • Engagement in WEG, broader community and active participation in financial planning community

Comprehensive Benefits Offerings

Our benefits aim to balance four key elements that make life and work meaningful: health and wellness, financial well-being, professional development, and work/life harmony. You may participate in the following benefits & development opportunities:

  • Training and professional development

  • Medical, dental and vision coverage (Available to employees and their families)

  • Health Savings Account (HSA) with employer contribution and Flexible Spending Accounts (FSA) for medical, dependent, and transit expenses

  • Life and AD&D insurance – employer paid and voluntary options

  • Short-term and long-term disability, workers compensation – employer paid

  • 401k with match and profit sharing

  • Wellness programs and resources

  • Voluntary benefits, including pet insurance

  • 18 days of paid time off (PTO), accrued annually (25 PTO days after 4 years of service)

  • 12 paid holidays each year (10 pre-determined and 2 floating days)

  • Paid parental leave and paid caregiver leave (Caregiver leave available after 6 months of tenure)

  • Reimbursement for tuition, licensing, and other credentials (Available after meeting service requirements)

Should you need reasonable accommodation when completing the application form or during the selection process, contact the Human Resources Department at 763-417-1700


Information provided on this application will be kept confidential and only be shared with those involved in the selection process.

Equal Opportunity Employer, including disabled and veterans. This organization participates in E-Verify.

Click the following link to view Federal and E-Verify posters: Link

OSHA Requirements: This position requires the ability to stand or sit for long periods of time, file documents in high or low cabinets, to use the telephone and to use the computer systems.

Average salary estimate

$125000 / YEARLY (est.)
min
max
$120000K
$130000K

If an employer mentions a salary or salary range on their job, we display it as an "Employer Estimate". If a job has no salary data, Rise displays an estimate if available.

What You Should Know About Financial Advisor, Wealth Enhancement Group

Are you ready to launch your career as a Financial Advisor with Wealth Enhancement in Saint Helena, CA? At Wealth Enhancement, we're passionate about enriching our clients' lives and providing personalized financial planning that truly stands out. Our Napa Valley office is looking for a dynamic Financial Advisor who thrives in a team environment and is eager to help clients achieve their financial goals. In this role, you'll manage client relationships, assist senior advisors, and facilitate the financial planning process by engaging clients in discovering their values, goals, and financial situations. You will also play a crucial role in sourcing new clients, reminding clients about unimplemented plans, and driving referrals through existing relationships. Your responsibilities will extend to preparing for annual reviews and analyzing investment portfolios while tapping into our team-centric resources and technologies. With a competitive salary ranging from $120,000 to $130,000 plus bonuses and benefits, Wealth Enhancement ensures that your contributions are recognized and rewarded. As a Financial Advisor, you will not only have access to comprehensive training and development but also an excellent work-life harmony with robust benefits, including health insurance and PTO. Come join a firm that is redefining wealth management and be part of a company that values open communication and professional growth. Our financial experts are here to guide you as you navigate this rewarding career path. Let's shape the future together!

Frequently Asked Questions (FAQs) for Financial Advisor Role at Wealth Enhancement Group
What are the main responsibilities of a Financial Advisor at Wealth Enhancement?

As a Financial Advisor with Wealth Enhancement, you'll be tasked with managing client relationships, assisting senior advisors with complex client management, and facilitating the financial planning process. You'll work closely with clients to discover their financial values and goals, prepare and conduct annual reviews, and source potential clients through various channels. Your role is integral to ensuring that clients receive personalized service and comprehensive financial strategies.

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What qualifications do I need to be a Financial Advisor at Wealth Enhancement?

To qualify for the Financial Advisor position at Wealth Enhancement, you'll need a four-year degree, ideally in business, finance, or economics. Additionally, an advanced designation such as CFP or CPA, along with Series 7 and 66 or 65 licenses, is required. 4+ years of experience in the wealth management industry is also essential for success in this role.

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What does the career path look like for a Financial Advisor at Wealth Enhancement?

A career as a Financial Advisor at Wealth Enhancement is robust and full of opportunities for professional growth. Starting as a Financial Advisor, you will engage in continuous learning through trainings and coaching programs and may progress to senior advisory roles as you build your client base and develop expertise in financial planning. Our commitment to professional development ensures that you'll have the tools you need to succeed.

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What kind of support is available to Financial Advisors at Wealth Enhancement?

Financial Advisors at Wealth Enhancement benefit from a supportive team environment that prioritizes collaboration and effective communication. You'll have access to a wide range of resources, including advanced financial planning technology, mentorship from senior advisors, and participation in ongoing training sessions, all designed to enhance your skills and ability to serve clients better.

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What are the salary and benefits like for a Financial Advisor at Wealth Enhancement?

The base salary for a Financial Advisor at Wealth Enhancement ranges from $120,000 to $130,000, excluding bonuses and benefits. Additionally, you can participate in a variable compensation structure, equity programs, and a comprehensive benefits package that includes medical, dental, and vision coverage, 401k matching, paid time off, wellness programs, and reimbursement for tuition and licensing fees.

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Common Interview Questions for Financial Advisor
Can you explain the financial planning process you would implement for clients?

In an interview, it's essential to articulate a structured financial planning process. You could say you would begin by conducting an in-depth needs analysis to understand the client's financial situation, then establish short and long-term goals, develop personalized strategies, and continually evaluate and adjust plans based on market changes and client feedback.

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How do you manage and nurture client relationships as a Financial Advisor?

Managing client relationships hinges on strong communication and trust. You can answer by emphasizing your commitment to regular check-ins, effective use of CRM software for follow-ups, and being proactive about clients’ needs and potential changes in their financial situations, ensuring they feel valued and supported.

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What strategies will you use to source new clients as a Financial Advisor?

Discuss your approach by mentioning specific strategies such as networking, leveraging referrals from existing clients, and actively participating in community events or financial planning seminars. Diversifying outreach efforts through social media and digital marketing can also enhance your client acquisition efforts.

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How do you analyze a client's current investment portfolio?

During an interview, describe your approach to portfolio analysis by summarizing key metrics you would assess, such as asset allocation, market trends, performance history, and risk tolerance. Be sure to mention that you would communicate your findings and recommendations clearly to the client to empower them with knowledge.

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What financial regulations should a Financial Advisor adhere to?

It’s vital to demonstrate awareness of the regulatory landscape. You might respond by outlining essential regulations, including fiduciary responsibility, compliance with the SEC and FINRA regulations, and adherence to ethical standards that govern the financial advisory profession.

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How do you stay informed about changes in financial regulations and the market?

Interviewers will appreciate your initiative if you share your strategies for staying updated, such as attending workshops and webinars, subscribing to financial news, engaging with professional associations, and continuing education to ensure you are well-informed about trends and regulations that affect your clients.

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Describe a time you went above and beyond for a client.

Provide a specific example where your proactive approach made a positive impact on a client's situation. Highlight your attentiveness, whether it involved timely communication, customized financial strategies, or providing additional resources to meet their unique needs.

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What are your long-term career goals as a Financial Advisor?

In your response, articulate clear, attainable career goals. You could express your desire to build a robust client base, achieve advanced certifications, or take on leadership roles within the firm, showcasing your ambition and commitment to the industry.

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How would you handle a dissatisfied client?

Address the importance of empathy and active listening when dealing with dissatisfied clients. You can explain your steps for resolving issues by first understanding their concerns, discussing solutions, and working collaboratively to rectify the situation to restore their trust and satisfaction.

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What sets Wealth Enhancement apart from other wealth management firms?

Highlight your understanding of Wealth Enhancement's unique approach, such as its commitment to personalized financial planning through its team-based strategies, emphasis on continuous improvement, and dedication to client relationships. Your answer should reflect your alignment with the company’s values and mission.

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DATE POSTED
March 31, 2025

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