Associate Financial Advisor

TPM Placement is hiring an Associate Financial Advisor for an independent, fee-based investment advisory firm. Based in Providence, RI, this role supports lead advisors through client relationship management, financial planning coordination, and disciplined follow-through across meeting preparation and ongoing reviews.

This hybrid position is structured around serving existing clients, developing referral-based opportunities, and contributing to a process that turns discovery into tailored financial planning and investment solutions. The ideal candidate brings strong communication skills, analytical ability, and a compliance-minded approach to client confidentiality.

Role Overview

• Nurture strong, consistent referral streams and deepen relationships with existing clients.
• Support discovery and onboarding, contributing to a smooth client experience from start to ongoing service.
• Prepare for and participate in client meetings, including client research and meeting support for lead advisors.
• Provide clear, actionable guidance aligned with the firm’s mission.
• Follow up on action items, owning deliverables and helping manage client expectations.
• Monitor and cultivate incoming warm leads from productive referral networks.

Client Planning and Ongoing Service

• Conduct periodic reviews, track changes in clients’ financial situations, analyze plan performance, and recommend strategy adjustments.
• Interview clients to assess income, expenses, risk tolerance, and goals.
• Prepare financial plans and coordinate with the investment committee.
• Maintain ongoing client communication to build and sustain a complete understanding of client objectives.
• Schedule client appointments, respond to client inquiries, and manage follow-up tasks.

Compliance, Ethics, and Team Collaboration

• Adhere to regulatory standards and follow firm compliance policies.
• Maintain high ethical standards and client confidentiality.
• Work closely with the client service team and participate in coaching from lead advisors to build client acquisition and advisory skills.

Requirements

• Series 65 (Required) (Series 66 or 65 required; “Series 65 (Required)” is explicitly stated).
• Bachelor’s Degree from an accredited college or university.
• 3-5 years in a similar role.
• Proficiency with computer programs, including Microsoft Office Suite.
• Familiarity with Schwab, Advyzon, and RightCapital is a plus.
• Strong analytical skills and exceptional listening, verbal, and written communication.
• Ability to manage multiple projects and deadlines with strong attention to detail.
• Comfortable with presentations and client-facing interactions.
• Providence, RI 02901 (Required).
• CFP or CFA is a plus.

Benefits

• 401(k)
• 401(k) matching
• Health insurance
• Paid training
• Retirement plan

Compensation

• $100,000 - $125,000 per year