Associate Financial Advisor Jobs in USA with Visa Sponsorship
Associate Financial Advisor roles qualify as specialty occupations under the H-1B visa, making them viable for visa sponsorship at wealth management firms, banks, and independent RIAs. Most employers file LCAs through DOL before sponsoring, and Series 65 or 66 licensing requirements add a credential step most other roles don't have.
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Get Access To All JobsINTRODUCTION
The Associate Financial Advisor is responsible for the development of new business and retention of existing relationships while creating and maintaining relationships with centers of influence and business partners. This position supports a Financial Advisor team and assists with new business, managing client relationships, reviewing portfolio performance with clients and completing client service requests. This individual also conducts securities transactions, holds educational branch meetings as required, communicates effectively within team and management and submits required reports in a timely fashion as requested. An Associate Financial Advisor should be in good standing in their community.
ESSENTIAL FUNCTIONS
- Assist with setting personal goals and targets and meet and/or exceed annual production guidelines
- Maximize technology tools available and provide required reporting on a timely basis
- Cultivate potential referrals from existing clients, Retail offices, Northwest's departments and centers of influence in the community
- Complete financial profiles and accurately analyze customer needs and recommend products and services accordingly, taking into account all suitable alternatives
- Perform presentations, meetings, account reviews and seminars with prospects and/or clients; coordinate customer documentation and agreements; correspond as necessary
- Monitor client accounts and transactions on an ongoing basis
- Cross sell other Northwest products and services and provide branch training on a periodic basis
- Recommend new marketing initiatives / potential new business opportunities / improvements to internal procedures
- Ensure compliance with Northwest Investment Services and broker dealer policies and procedures; obtain continuing education, as required
- Ensure compliance with FINRA/SEC regulations and requirements (licensed representatives)
- Conduct securities buying and selling as directed by client (licensed representatives)
- Review financial/investment markets daily
- Establish a presence with your community
- Minimize departmental non-payroll costs
- Sit in Northwest Bank branch offices assigned by Regional Sales Manager
ADDITIONAL ESSENTIAL FUNCTIONS
- Ensure compliance with Northwest’s policies and procedures, and Federal/State regulations
- Navigate Microsoft Office Software, computer applications, and software specific to the department in order to maximize technology tools and gain efficiency
- Work as part of a team
- Work with on-site equipment
SAFETY AND HEALTH FOR THOSE WITHOUT SUPERVISORY DUTIES
- Abide by the rules of the safety and loss prevention program
- Perform work tasks in a safe manner
- Report any and all injuries to supervisor
- Know what to do in case of an emergency
QUALIFICATIONS
To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
Education
Bachelor's Degree Finance / related degree preferred
WORK EXPERIENCE
2 - 3 years relevant experience
GENERAL EMPLOYEE KNOWLEDGE, SKILLS, AND ABILITIES
- Ability to establish effective working relationships among team members and participate in solving problems and making decisions
- Ability to present and express ideas and information clearly and concisely in a manner appropriate to the audience, whether oral or written
- Ability to actively listen to what others are saying to achieve understanding, sharing information with others and facilitating the open exchange of ideas and information
- Ability to establish courses of action for self to accomplish specific goals, develop and use tracking systems for monitoring own work progress, and effectively use resources such as time and information
- Ability to make right decisions based on perceptive and analytical processes, practicing good judgment in gray areas
ADDITIONAL KNOWLEDGE, SKILLS AND ABILITIES
- Ability to analyze financial data
- Knowledge of mutual funds, stocks and bonds
- Knowledge of investment markets, general economic fundamentals and available products and services
- Knowledge of Custodian Accounts
- Knowledge in Investments, IRA’s and Estates
- Knowledge of Fiduciary, ERISA and brokerage account types
- Knowledge of Employee Benefits
LICENSES AND CERTIFICATIONS
Series 7 In relevant states Upon Hire
And Life/Acc/Health In relevant states Upon Hire
And Series 63 In relevant states Upon Hire
And Series 65 In relevant states Upon Hire
Or Series 66 In relevant states Upon Hire
The pay range for this position is generally $40,000 annually. Actual pay is based on various factors including but not limited to the successful candidate’s experience, skills, and knowledge. Additional bonus earning opportunities and benefits are also available.
Northwest is an equal opportunity employer. We are committed to creating an inclusive environment for all employees.
INTRODUCTION
The Associate Financial Advisor is responsible for the development of new business and retention of existing relationships while creating and maintaining relationships with centers of influence and business partners. This position supports a Financial Advisor team and assists with new business, managing client relationships, reviewing portfolio performance with clients and completing client service requests. This individual also conducts securities transactions, holds educational branch meetings as required, communicates effectively within team and management and submits required reports in a timely fashion as requested. An Associate Financial Advisor should be in good standing in their community.
ESSENTIAL FUNCTIONS
- Assist with setting personal goals and targets and meet and/or exceed annual production guidelines
- Maximize technology tools available and provide required reporting on a timely basis
- Cultivate potential referrals from existing clients, Retail offices, Northwest's departments and centers of influence in the community
- Complete financial profiles and accurately analyze customer needs and recommend products and services accordingly, taking into account all suitable alternatives
- Perform presentations, meetings, account reviews and seminars with prospects and/or clients; coordinate customer documentation and agreements; correspond as necessary
- Monitor client accounts and transactions on an ongoing basis
- Cross sell other Northwest products and services and provide branch training on a periodic basis
- Recommend new marketing initiatives / potential new business opportunities / improvements to internal procedures
- Ensure compliance with Northwest Investment Services and broker dealer policies and procedures; obtain continuing education, as required
- Ensure compliance with FINRA/SEC regulations and requirements (licensed representatives)
- Conduct securities buying and selling as directed by client (licensed representatives)
- Review financial/investment markets daily
- Establish a presence with your community
- Minimize departmental non-payroll costs
- Sit in Northwest Bank branch offices assigned by Regional Sales Manager
ADDITIONAL ESSENTIAL FUNCTIONS
- Ensure compliance with Northwest’s policies and procedures, and Federal/State regulations
- Navigate Microsoft Office Software, computer applications, and software specific to the department in order to maximize technology tools and gain efficiency
- Work as part of a team
- Work with on-site equipment
SAFETY AND HEALTH FOR THOSE WITHOUT SUPERVISORY DUTIES
- Abide by the rules of the safety and loss prevention program
- Perform work tasks in a safe manner
- Report any and all injuries to supervisor
- Know what to do in case of an emergency
QUALIFICATIONS
To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
Education
Bachelor's Degree Finance / related degree preferred
WORK EXPERIENCE
2 - 3 years relevant experience
GENERAL EMPLOYEE KNOWLEDGE, SKILLS, AND ABILITIES
- Ability to establish effective working relationships among team members and participate in solving problems and making decisions
- Ability to present and express ideas and information clearly and concisely in a manner appropriate to the audience, whether oral or written
- Ability to actively listen to what others are saying to achieve understanding, sharing information with others and facilitating the open exchange of ideas and information
- Ability to establish courses of action for self to accomplish specific goals, develop and use tracking systems for monitoring own work progress, and effectively use resources such as time and information
- Ability to make right decisions based on perceptive and analytical processes, practicing good judgment in gray areas
ADDITIONAL KNOWLEDGE, SKILLS AND ABILITIES
- Ability to analyze financial data
- Knowledge of mutual funds, stocks and bonds
- Knowledge of investment markets, general economic fundamentals and available products and services
- Knowledge of Custodian Accounts
- Knowledge in Investments, IRA’s and Estates
- Knowledge of Fiduciary, ERISA and brokerage account types
- Knowledge of Employee Benefits
LICENSES AND CERTIFICATIONS
Series 7 In relevant states Upon Hire
And Life/Acc/Health In relevant states Upon Hire
And Series 63 In relevant states Upon Hire
And Series 65 In relevant states Upon Hire
Or Series 66 In relevant states Upon Hire
The pay range for this position is generally $40,000 annually. Actual pay is based on various factors including but not limited to the successful candidate’s experience, skills, and knowledge. Additional bonus earning opportunities and benefits are also available.
Northwest is an equal opportunity employer. We are committed to creating an inclusive environment for all employees.
See all Associate Financial Advisor Jobs
Sign up for free to unlock all listings, filter by visa type, and get alerts for new Associate Financial Advisor roles.
Get Access To All JobsTips for Finding Associate Financial Advisor Jobs
Verify your Series licensing eligibility early
Many states require a Social Security Number to sit for the Series 65 or 66 exam. Confirm your state's rules before accepting an offer, since sponsoring employers often expect you to hold or immediately pursue these licenses.
Target RIAs and regional broker-dealers first
Large wirehouses have slower internal approval chains for sponsorship. Regional broker-dealers and independent RIAs with 20 to 200 advisors often move faster on H-1B decisions because a single hiring manager controls the budget.
Use the OFLC Wage Search to benchmark your offer
Financial advisor prevailing wages vary sharply by metro area and experience level. Run your SOC code through the OFLC Wage Search before negotiating, so you know the DOL wage floor your employer must certify on your LCA.
Find sponsors through Migrate Mate's verified employer list
Migrate Mate shows Associate Financial Advisor employers with confirmed LCA filing history, searchable by city and role. This cuts out firms that claim sponsorship willingness but have no actual DOL filing record behind it.
Get your degree equivalency documented before interviews
If your finance or economics degree is from outside the U.S., have a credential evaluation completed by a NACES-member organization before you start applying. Employers filing H-1B petitions need this documentation to satisfy USCIS specialty occupation requirements.
Understand your cap-gap window if on OPT
If your employer files your H-1B petition before your OPT expires and your registration is selected, your work authorization extends automatically through September 30. Confirm with your employer that they file before the April 1 USCIS receipt deadline, not after.
Frequently Asked Questions
Does an Associate Financial Advisor role qualify for H-1B sponsorship?
Yes. Associate Financial Advisor positions typically qualify as specialty occupations under H-1B because they require at least a bachelor's degree in finance, economics, accounting, or a closely related field. USCIS evaluates the degree requirement based on the employer's job description, so roles that accept any bachelor's degree without a field-specific requirement can face scrutiny and may receive a Request for Evidence.
Which visa types are realistic for Associate Financial Advisor candidates?
H-1B is the most common path for this role. Australian nationals can use the E-3 visa, which has a separate annual cap that has never been exhausted and doesn't require a lottery. Chilean nationals may qualify under H-1B1 visa and Singapore nationals under their own H-1B1 allocation, both of which are processed through a U.S. consulate without an I-129 petition. TN visa is not available for financial advisor roles, as that occupation isn't on the USMCA profession list.
Do employers need to file anything with DOL before sponsoring me?
Yes, for H-1B, E-3, and H-1B1 visas, the employer must file a Labor Condition Application with DOL before submitting your visa petition or application. The LCA certifies that your offered wage meets the prevailing wage for the role in your work location. You can find the wage floor for your metro area and job level using the OFLC Wage Search to verify your offer aligns before the employer files.
Will I need FINRA licenses to get sponsored as an Associate Financial Advisor?
Most employers expect candidates to pursue Series 65, Series 66, or Series 7 licenses within a defined period after hire. Licensing doesn't affect your visa eligibility directly, but some states tie exam eligibility to having a Social Security Number, which you'll receive after your visa is approved. Clarify the exam timeline and state-specific requirements with your employer during the offer stage so there's no conflict with your start date.
How do I find Associate Financial Advisor employers who actually sponsor visas?
Migrate Mate lists Associate Financial Advisor employers with verified LCA filing history so you can confirm sponsorship before applying. Filtering by role and location shows which firms have an active DOL filing record for this position, which is a stronger signal than a job posting that simply states "visa sponsorship available."
What is the prevailing wage requirement for sponsored Associate Financial Advisor jobs?
U.S. employers sponsoring a visa must pay at least the prevailing wage, which is what workers in the same role, area, and experience level typically earn. The Department of Labor sets this rate to make sure companies aren't hiring foreign workers simply because they'd accept lower pay than a U.S. worker. It varies by job title, location, and experience. You can look up current prevailing wage rates for any occupation and location using the OFLC Wage Search page.