SUMMARY

Allworth Financial is seeking a high-performing, growth-oriented Senior Associate Advisor to step into a critical transitional role within our advisor career path. This role is designed as a bridge between Associate Advisor and Financial Advisor, providing the opportunity to take ownership of client relationships while continuing to develop the skills required to become a fully independent advisor.

Senior Associate Advisors are entrusted with a defined set of client relationships and are responsible for delivering high-quality, fiduciary financial planning and ongoing service. This role emphasizes relationship continuity, planning excellence, and client experience, while building readiness for full advisory responsibility.

Unlike early-career roles, this is not a purely support-based position. Senior Associate Advisors are expected to lead client interactions, demonstrate sound judgment, and operate with increasing independence, while continuing to receive coaching and mentorship.

This role is not intended as a long-term position. Designed for progression to Financial Advisor within ~12–18 months. Role placement is driven by business need, with positions aligned to market growth and advisor succession planning priorities. This role is a key step in developing future Financial Advisors at Allworth and plays an important part in maintaining strong client relationships across the firm.

• ROLE FOCUS The Senior Associate Advisor role is centered on three core areas: • Client Relationship Ownership: Manage and develop a portfolio of existing client relationships, ensuring a consistent, high-quality experience • Financial Planning Delivery: Lead planning conversations and deliver comprehensive financial advice aligned to Allworth’s fiduciary standards • Advisor Readiness Development: Build the skills, judgment, and confidence required to transition into a Financial Advisor role

KEY RESPONSIBILITIES Client Relationship Management (40–50%) • Manage a defined set (typically 50+ client relationships) of client relationships, typically within the firm’s core client segment • Serve as a primary point of contact for assigned clients, ensuring responsiveness, follow-through, and continuity • Lead client meetings, including annual reviews and planning discussions, with appropriate coaching support as needed • Maintain a forward-looking view of each relationship, proactively identifying needs, risks, and opportunities • Ensure all client interactions reflect Allworth’s fiduciary standard of care and client-first philosophy Financial Planning & Advisory Delivery (30–40%) • Prepare, deliver, and implement comprehensive financial plans using Allworth’s planning framework • Partner with the Wealth Planning Team and internal specialists (tax, estate, insurance) to develop holistic recommendations • Communicate planning strategies, investment updates, and recommendations clearly and confidently • Ensure plans remain aligned with client goals through ongoing monitoring and updates • Apply sound judgment in decision-making and appropriately engage additional expertise when needed Relationship Growth & Continuity (10–20%) • Deepen existing client relationships through proactive engagement, trust-building, and consistent service • Demonstrate the ability to identify and act on opportunities to expand wallet share, deepen relationships, and increase client value over time • Support retention by ensuring a seamless, reliable client experience over time • Contribute to relationship transition efforts when clients are reassigned or onboarded Advisor Development & Team Contribution (10–15%) • Continue to build advisory capability through coaching, feedback, and real-time client experience • Partner with Financial Advisors on complex cases, client strategy, and meeting preparation as needed • Provide guidance and informal mentorship to Associate Advisors • Contribute to a collaborative team environment and support broader firm initiatives

QUALIFICATIONS • Bachelor’s degree in Finance, Economics, Business, or a related field • Progress toward or completion of CFP® certification strongly preferred • Series 7 preferred • 3+ years of experience in financial planning, wealth management, or a related role • Demonstrated ability to manage client interactions and contribute to financial planning delivery • Strong communication, relationship-building, and interpersonal skills • Ability to balance multiple client relationships and priorities in a fast-paced environment • High level of professionalism, accountability, and attention to detail • Mastery of financial planning tools and CRM systems: o CRM (Salesforce) documentation standards o Financial planning tools (e.g., MoneyGuidePro) o Proposal generation and delivery o Firm sales and client engagement processes o Aperio platform (as applicable)