Registered Investment Advisor - (US-UT-Salt Lake City - 84199)

Compensation: $75K - $200K / Year
Minimum Education: High School
Job Type: Full Time
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Registered Investment Advisor - Salt Lake City, UT

Financial Services - Investment Management
Finance / Accounting - Cash Management / Portfolios

Full-time
United States - Utah - Salt Lake City


The Compensation
Commission based

Benefits - Full

Commission Compensation - Yes
Bonus Eligible - No
Overtime Eligible - No
Relocation Assistance Available - No
Interview Travel Reimbursed - No

The Ideal Candidate
2+ to 5 years of experience
Management Experience Required - No
Minimum Education - High School or Equivalent


Requirements:

1) Do you currently have over $30million in investment assets under management?

If so, how much do you have in assets under management, and what is the mix of your business?

FEE BASED MANAGEMENT is on the right track.


2) Do you own the relationships? We are looking for the person who controls the accounts.

3) Are you a registered investment advisor or in the process of transitioning your business to fee based management.
What % of your business is in Fee Based Management?

4) Are you interested in "going independent" or are you already "independent"?

In the investment industry, professionals who wish to go independent and open their own business must deal with considerable expense, reporting burden, and back office. In addition, unless they are sizeable enough to have their own trading staff, they need a firm to clear through, meaning a firm to execute their trades on the various exchanges.
As a result, companies like ours, provide clearing / trading services, reporting, statements, compliance, and back office support so that the financial advisor can focus on managing their client investments and building their business. Most professionals who go independent in the investment industry go this route as building the infrastructure to do all of the above is hugely cost prohibitive.

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We are an easy sell. We are market leaders in the investment industry. While a member of the general public may not recognize the name, almost anyone in the investment industry will recognize us a sizeable piece of the Wall Street infrastructure. It's unlikely that anyone who meets the 4 minimum requirements above wouldn't already have thought of us as one of their primary options for going independent.

In addition to being the largest third-party clearing firm in the world with trillions under management, we provide excellent tools and service for the registered investment advisors. Our turnkey services allow a financial advisor to quickly and easily get their new business up and running.

The following is a bit of marketing language from our website aimed at the registered investment advisors:
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When you work with XXXXXXXXXXXXXXXXXXXX, you are in the company of many of the largest and most respected turnkey asset management providers (TAMPs) in the industry. Turn to us for a vast array of technology, investment, and practice management solutions tailored to your needs, all backed by our unparalleled, dedicated support.

Comprehensive Solutions

Cutting-edge, enterprise-wide, open-architecture technology to manage business and investment activities from a single, flexible platform
Customized, innovative workflows

Seamless connectivity to a wide range of trading platforms

Cash management solutions

Our mutual fund marketplace, providing access to more than 14,000 mutual funds from more than 450 fund families

A full range of lending solutions

Easy-to-execute practice management programs to help grow your business

Consultative support from a dedicated team that includes a Relationship Consultant, Client Service Liaison, and Account Manager.
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Please send resumes to : mld.associates@gmail.com