Lead Financial Advisor

The Lead Financial Advisor is responsible for maintaining the firm’s client relationships. 50% of his/her time will be spent meeting with existing clients. They will also spend a minimum of 50% of his/her time developing new client relationships and new business.

The LFA may rely on technical specialists, such as a CFP® and a CFA®, to develop recommendations within the individual specialist's area of expertise. The Lead Financial Advisor also benefits from experienced staffing support and infrastructure provided by the Principals and Senior Lead Advisors. They also receive guidance and mentorship from a Senior Lead Advisor, as well as the transferring if generational clients.

Core Skills

  • Ability to gain others’ support for ideas, proposals, projections, and solutions
  • Presents a positive and truthful image of Stone Arch Advisory Group/Northwestern Mutual when engaging the community
  • Dedicated to meeting the expectations and requirements of internal and external customers
  • Obtains first-hand customer information and uses it for improvements in products and services
  • Acts with the clients’ best interest in mind, establishes and maintains effective relationships with customers and gains their trust and respect
  • Relates well to all kinds of people, inside and outside of the organization, uses diplomacy and tact, can diffuse high-tension situations comfortably
  • Effective in formal presentation settings, one-on-one, small and large groups, with peers, direct reports, and Senior Lead Advisors
  • Knowledgeable in current and possible future policies, practices, trends, developments in e-commerce and information affecting his/her business and organization, understands the competition, aware of how strategies and tactics work in the marketplace
  • Uses his/her time effectively and efficiently, values time, concentrates his/her efforts on the more important priorities, can attend to a broader range of activities, while maintaining a sense of urgency
  • High degree of initiative and autonomy

Responsibilities include, but are not limited to:

  • Clear understanding of planning software and presentations, including, but not limited to:
    • Retirement projections (PX)
    • Life/Disability/Long-Term Care needs analysis
    • Retirement income distribution strategies
  • Identifying and solving the clients financial planning needs:
    • Insurance (Life, DI, LTC)
    • Annuities
    • Asset accumulation strategies and analysis
    • Communicate recommendations to the team to ensure a smooth client onboarding process/experience
  • Attend case preparation meetings to become well prepared and versed for client meetings
  • Document all client conversations or account changes by dictating case notes
  • Ability to prospect and spend time on the phone engaging new potential clients
  • Become educated and well versed on the life, annuity, and long-term care products Northwestern Mutual and other carriers offer
  • Proficient with Microsoft Office, CRM, and ability to learn new computer programs quickly
  • Maintain calendar and schedule client meetings
  • Identify new investment opportunities for possible inclusion in client portfolios
  • Make investment account changes or recommendations
  • Stay up to date and informed on technology changes, attending webinars or classes as needed to stay current on correct processes and procedures when conducting business daily
  • Maintains own personal CE credits and certification, knowing when your licenses expire and be sure to meet the deadlines to keep your certifications and licenses valid
  • Sustains a positive, enthusiastic, and professional office atmosphere and environment
  • Maintains the sense of autonomy, urgency, and takes initiative
  • Participates in team meetings as requested


  • Undergraduate degree in finance, business, or sales preferred
  • 3+ years’ experience in the financial and/or insurance and investment services
  • Series 7 & 66/63 registered
  • MN State Life, Accident & Health licensed (or the ability to obtain within 2 months)

Preferred Designations (or plans to obtain)

  • CFP®
  • CHFC®
  • CLU®
  • RICP®
  • WMCP®