Broker Check

Financial Advisor – Hauppauge, NY

The FA reports directly to the Senior Advisor/Branch Manager (SA) and assists the SA in all aspects of client advice and planning. The FA will participate in client and prospect meetings and will assist in preparation and follow-up including modifications to portfolios, evaluation of financial goals and plans, implementing financial plans, and monitoring those plans over time. Another element of the FA’s position is the development of new clients by conducting sales programs and prospecting efforts, initially in conjunction with the SA and then independently. The FA works cooperatively with client service associates and delegates tasks as necessary to serve client needs. The FA will become an advisor representative of NestEgg Advisors, Inc. and American Portfolios Advisors, Inc. and a registered representative of American Portfolios Financial Services, Inc., member FINRA and SIPC. The FA is required to comply with all laws, rules and regulations relating to regulatory authorities (FINRA, SEC, DOL, etc.), B/D and RIA affiliations, and professional organizations.

Duties and Responsibilities:

  • In conjunction with the Senior Advisor, participate in periodic client financial and investment review meetings. This includes review of client portfolios, asset allocation, money flows, liquidity issues and potential rebalancing. Analyze portfolio performance and structure to determine if any changes are warranted. Provide instructions to client services associates relating to portfolio transactions, rebalancing, and other adjustments. Clients generally consist of individuals, families, and professional practices.
  • As part of periodic client meetings, review clients’ tax returns, beneficiary designations, asset protection concerns and estate plans to determine if changes are warranted. Communicate with clients’ tax and estate planning professionals as necessary with the objective of using a team approach to assist clients in meeting their objectives. Maintain ongoing relationships with professionals that clients rely on for advice including CPA’s and attorneys.
  • Prepare retirement income projections for clients and prospects utilizing industry specific software. Analyze current and future assets available to produce retirement income and clients’ projected future revenue streams. Refine the plans if necessary to eliminate any funding deficits.
  • Respond to clients’ inquiries and requests in a timely and satisfactory manner ensuring that clients receive prompt and responsive service. Execute client and prospect communication plans including phone, e-mail, in-person or other communication avenues.
  • In conjunction with Senior Advisor, meet with prospective new clients to determine their important financial goals and determine if they meet criteria to become clients. Create customized portfolios and asset allocation strategies utilizing independent, open architecture, fee-based advisory platform. Perform necessary investment research. Prepare retirement income projections and other recommendations as warranted.
  • Assist in the on-boarding process for new clients. Provide instructions to client service associates to transfer assets and process trades to implement portfolio plans. Coordinate with Senior Advisor to schedule and conduct post-implementation meetings and important client follow-up.
  • Develop strong client relations by earning their trust and confidence. Enhance the firm’s reputation by providing exemplary service and by strict adherence to professional standards. Support the firm’s long-term, excellent track record of developing client loyalty and in maintaining a high level of client retention.
  • Conduct workshops, seminars, and courses on financial planning topics (initially in conjunction with senior advisor and then independently) for existing and prospective clients, invited guests, centers of influence, and the general public. Conduct follow-up meetings, develop proposals and recommendations, and initiate new client relationships.
  • Develop client base by executing sales, prospecting and marketing programs. Effectively source prospective clients and seminar sponsors through direct mail, telephone contact and follow–up, referrals, networking, in-person presentations, teaching financial courses, and delivering seminars.
  • Achieve client servicing and retention goals and asset accumulation targets. Transition to status of Senior Financial Advisor within a three-year period and to Vice President (with ownership interest) in a five to seven year period, based on performance.
  • Perform other functions that may be necessary from time to time as is typical in a small service company environment. These functions may be operations related (such as developing analyses of client base, creating or revising procedures) and administrative and clerical in nature such as bookkeeping, coordinating with vendors, filing, photocopying, answering phones, etc.


  • Bachelor's Degree
  • Certified Financial Planner designation or willingness to obtain within 3 years
  • Series 7 or 6 FINRA license
  • Two years of financial planning experience working directly with retail clients
  • Experience in developing new clients
  • Experience in making public presentations
  • Basic familiarity with MS Excel, Word and Powerpoint
  • Clean CRD/U4 record; must pass a background check and pre-employment tests
  • FA’s are required to sign employment agreement affirming NestEgg’s exclusive proprietary interest in all client relationships

Job Skills, Personality Traits, Work Ethic and Career Objectives:

  • Passion to be successful and achieve the status of an elite financial advisor and business partner/owner. Willingness to make reasonable, personal sacrifices to obtain goals.
  • Excellent relationship building skills. Can project a confident, experienced, professional, and likable image. Motivated to use financial expertise to help clients and do whatever it takes to make the client a “raving fan”.
  • Willingness to engage in prospecting activities, to subject oneself to lots of rejection, and to have the desire and emotional fortitude to stick with the program.
  • Dedicated team player with strong employer loyalty.

Compensation and Hours:

  • Compensation includes base salary, incentive compensation (after first year), paid vacation and personal days, retirement savings plan with employer matching contribution and participation in deferred compensation plan (after two years of service).
  • Although virtually all client meetings are conducted in our Hauppauge office, the FA is expected to cover his or her own transportation costs to clients and to clients’ other advisors (such as attorneys), when necessary, and to/from seminar and workshop locations.
  • Position is full time, requiring 40 hours per week. FA is expected to adjust work schedule to accommodate client and prospect meetings when necessary. This will require evening hours. In addition, the FA will, from time to time, conduct financial educational courses and workshops in the evening. However, barring unusual circumstances, FA’s should not have to work more than a total of 40 hours per week.
Learn More About our Opportunities

Learn More About our Opportunities

Call us: 631-952-2700

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