Financial Advisor Job in Lubbock, TX – SWBC

Author - June 20, 2012

Description of Financial Advisor Job

Markets and sells investment products to prospective members and customers of an assigned financial institution. SWBC (Southwest Business Corporation) has been recognized as one of the Best Companies to Work for in Texas and has an immediate opening for a Financial Advisor in Lubbock. This is an exciting opportunity for the right individual to join an energetic and seasoned team, with an established and expanding national firm.

Minimum Requirements

  • Must have Securities licenses 7, 63, and Group I.
  • Must have at least one (1) year financial service or related experience.
  • Must have excellent organizational and communication skills.
  • Must have a Bachelor’s Degree in Business, Finance, Marketing, or related field.
  • Must have a current driver’s license and excellent driving record.
  • Must be able to travel locally.

Essential Duties

  • Analyzes and determines appropriate financial products for clients for investment purposes, applying knowledge of securities, investment plans, market conditions, regulations, and financial situation of clients.
  • Develops customer financial profiles to determine suitability of investment products based on financial position, resources, assets available to invest, and financial goals.
  • Assists with development and implementation of marketing plan for financial institution and/or reviews and maintains customer account statement exception reports, signature guarantee requests and seventeen required records and blotters.
  • Provides consultation and recommendations to new and existing on the purchase or sale of securities, financial services, and investment plans, based on specific customer profiles.
  • Maintains a list of referrals from institutions and follows through on leads.
  • Acts as a liaison between financial institution and SWBC to relay any data and information regarding products and customers.
  • Develops special promotions in line with SWBC sales and marketing goals.
  • Trains financial institution’s staff on SWBC investment products and how to make referrals to the program.
  • Maintains current files on all new and existing customers who purchase investments.
  • Conducts sales contests and focus days for all branches of financial institution.
  • Submits all sales documents to back office for submission to carriers.

Additional Information

  • SWBC is a Substance-Free Workplace and requires pre-employment drug testing.
  • Please note, SWBC does not hire tobacco users.

SWBC’s compensation package is competitive and includes the following employee benefits:  401(k) with company match, paid medical/dental health premiums for employees, Life, Long Term Disability, Accidental Death and Dismemberment, and Long Term Care insurance policies.  SWBC also provides opportunities for professional growth.  To learn more about SWBC, visit our website at  If interested, please apply on-line through our website listed above.  Only those candidates who meet the minimum requirements need apply.

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