Job Title: Registered Client Associate / Client Associate (Registration Sponsorship Available)
Location: Pasadena, CA
Position Overview:
TSG Wealth Management is a premier independent financial advisory practice affiliated with Wells Fargo Advisors Financial Network (WFAFN). We specialize in providing bespoke wealth management and sophisticated portfolio management to high-net-worth individuals and families.
We are expanding our team in Pasadena, CA and seeking a detail-oriented, service-minded Client Associate who takes pride in operational precision and delivering exceptional client experiences. Whether you are an experienced wealth management professional looking for a collaborative team environment, or an ambitious candidate eager to launch a career in financial services with full FINRA registration sponsorship (Series 7 & 66), we offer a supportive culture, competitive compensation, and direct mentorship to help you thrive.
Key Responsibilities:
In this role, you will serve as the operational backbone of our advisory team, managing administrative workflows, client onboarding, and daily operations.
- Client Onboarding & Maintenance: Lead seamless client onboarding workflows, including processing account openings, transfers, deposits/distributions, and maintaining accurate account documentation.
- Operational Excellence: Serve as the primary administrative point of contact, navigating compliance, regulatory guidelines, and evolving internal procedures to maintain smooth operational flow.
- Meeting Preparation: Assist financial advisors in preparing client meeting agendas, portfolio review reports, and tracking post-meeting action items.
- Marketing & Client Engagement Support: Assist with marketing initiatives, including coordinating client events and seminars, preparing branded presentation materials, and supporting digital outreach.
- Client Relationship Touchpoints: Professionally handle client inquiries via telephone, emails, and digital portals, resolving administrative requests promptly with high attention to detail.
- Digital & Software Mastery: Rapidly learn and utilize cutting-edge wealth management platforms and tools to streamline practice management.
Qualifications:
- Experience: 1-3+ years of professional experience in client-facing roles (e.g. retail banking, financial services, hospitability, or administrative support).
- Status:
- Unlicensed / Entry-Level: Open to candidates eager to learn; we will sponsor and support your FINRA Series 7, Series 66, and SIE Registration through an internship program.
- Registered CAs: Active Series 7 and Series 66 (or Series 63/65) registrations are a strong plus.
- Core Competencies: Exceptional attention to detail, strong multi-tasking abilities, proactive problem-solving skills, and a genuine team-player attitude.
- Tech-Savvy: Comfortable navigating modern digital platforms and administrative tools.
- Languages: Conversational proficiency in Cantonese or Mandarin is welcoming plus to assist our diverse clientele.
Why Join Us?
This is an exciting opportunity to play a vital role in a dynamic and prestigious financial advisory practice. If you are a proactive, organized, and dedicated professional with a passion for client service and wealth management, we invite you to apply.
At TSG Wealth Management, we are looking for talented people who will put our clients at the center of everything we do. We are seeking candidates who embrace diversity, equity and inclusion in a workplace where everyone feels valued and inspired.
Some of the benefits of joining our team include:
✓ Top-tier Compensation
✓ Health Insurance
✓ 401k Match
✓ A Fun and Inclusive Environment
✓ Goal Oriented and Supportive Team
✓ Opportunities for Advancement and Education
✓ Community Give-Back Projects
Salary Range:
Registered Client Associate: $60,000 – $90,000 (DOE & Licensing Status) + Discretionary Bonus Potential
* Additional requirements include meeting enhanced financial fitness and criminal background standards. Wells Fargo Advisors Financial Network will initiate the FINRA review process at the time of offer acceptance.
* For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be required.
Investment products and services are offered through Wells Fargo Advisors Financial Network, LLC (WFAFN), Member SIPC. TSG Wealth Management is a separate entity from WFAFN.
