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Financial Advisor resume example

Branch managers and RIA owners check two things before reading further: which licenses you hold right now and what kind of clients you serve. Put the SIE, Series 7, 63, 65 or 66 and your CFP status in the header. Then give households served, assets under management, retention and the planning work you completed, and describe how you found new clients.

Updated

Beatriz Holloway

Financial Advisor, CFP | Retirement Income Planning | $142M across 175 households

  • Denver, CO
  • beatriz.holloway@example.com
  • +1 (303) 555-0117
  • linkedin.com/in/your-name

Summary

CFP professional with eleven years in banking and wealth management, focused on households five to ten years from retirement. Serves 175 households with $142M in assets under management, delivers written retirement income plans in eMoney and coordinates with clients' CPAs on Roth conversions and charitable giving. Holds the Series 7 and 66 and a Colorado life and health license.

Work Experience

Wealth Advisor

Mar 2021 – Present

Larimer Gate Wealth Partners · Denver, CO

  • Grew assets under management from $71M to $142M across 175 households, with two thirds of new assets from client and CPA referrals.
  • Deliver 70+ written retirement income plans a year in eMoney, each reviewed with the client's tax preparer before major moves.
  • Kept household retention at 97% through the 2022 market decline by meeting every client within two weeks and rebalancing to target.

Financial Advisor

Jun 2017 – Feb 2021

Sablewood Investment Services · Englewood, CO

  • Built a book of 95 households from bank branch referrals and community workshops on retirement plan rollovers.
  • Ran insurance needs reviews for 48 families, closing life and disability coverage gaps for 19.
  • Completed 150 annual reviews a year with documented risk tolerance updates and no findings in two branch exams.

Personal Banker

Jan 2015 – May 2017

Highline Canal Bank · Littleton, CO

  • Opened 320 deposit and lending accounts in two years and referred 60 clients to the branch investment team.
  • Completed the bank's investment referral training and moved into a sponsored advisor training program in 2017.

Education

Bachelor of Science, Business Administration, Finance

2010 – 2014

Colorado State University

Skills

Core competencies

  • Retirement Income Planning
  • Portfolio Construction
  • Referral Partnerships

Planning & Investments

  • Social Security Claiming Analysis
  • Roth Conversion Analysis
  • Tax-Loss Harvesting
  • Insurance Needs Review

Tools & Compliance

  • eMoney Advisor
  • Orion
  • Redtail CRM
  • Regulation Best Interest

Certifications

  • CERTIFIED FINANCIAL PLANNER (CFP) · CFP Board, 2022
  • Series 7 General Securities Representative (firm-sponsored) · FINRA, 2017
  • Series 66 Uniform Combined State Law Exam · NASAA, administered by FINRA, 2017
  • Life and Health Insurance Producer License · Colorado Division of Insurance, 2017

Languages

  • English · Native
  • Portuguese · Professional working proficiency

The full sample as text. Rendered in the Charter template, a layout applicant tracking systems read in order.

Fictional person: the name and contact details are invented. Any resemblance to a real person is coincidental.

Financial Advisor resume summary examples

Pick the one closest to your level and replace the specifics with your own.

  • Entry level

    Client service associate with two years supporting three advisors at a regional wealth firm, preparing review packets, processing account openings and rollovers and answering client calls. Passed the SIE independently and holds a state life and health license. Ready for a sponsored Series 7 and 66 path and a role building plans for younger households.

  • Mid level

    Financial advisor with seven years serving pre-retirees and small-business owners, holding the Series 7 and 66 and a state insurance license. Manages $96M across 140 households with 97% retention over three years, and delivers written retirement income plans in eMoney. Gathers most new assets through referrals from two CPA firms and existing clients.

  • Senior

    CFP professional and senior wealth advisor with sixteen years in planning-led practices. Leads a team of two associate advisors and a paraplanner serving 210 households with $380M in assets under management. Built a referral program with estate attorneys and accountants, moved the practice to a written-plan-first model and kept household retention above 96% through two market downturns.

Common mistakes on a financial advisor resume

  • Listing licenses without their status

    Fix: A row of exam numbers leaves the reader guessing whether you can start advising on day one. Note each exam's status: registered, passed and within the two-year window, or expired. If a new firm will need to sponsor your Series 7 or you plan to add the 66, say so plainly so nobody discovers it during onboarding.

  • Sounding like product sales with no planning

    Fix: Phrases like "top producer" say little about advice. Show the planning you delivered: retirement income plans built, Social Security claiming analyses, Roth conversion reviews, insurance gap reviews and plans coordinated with a client's CPA or attorney. Give counts, such as "delivered 74 written plans in eMoney last year."

  • Leaving out retention and service

    Fix: Keeping clients matters as much as finding them. Report household retention, the number of annual reviews you held, how many assets came from existing clients' referrals, and how you handled a market drop. A steady retention figure over several years is one of the most persuasive numbers an advisor can show.

  • Dates that do not match public records

    Fix: Your registration history appears on FINRA BrokerCheck and the SEC's Investment Adviser Public Disclosure site, and hiring firms look. Use the same firm names and month-year dates as your Form U4 history. If you have a disclosure, be ready to explain it briefly in the interview rather than leaving a hidden gap on the page.

What should a financial advisor resume include?

A financial advisor resume should open with a two or three line summary of your focus, then show each role as results rather than duties. Name the skills the posting asks for, such as SIE, Series 7 and Series 63. Start bullets with verbs like Advised, Grew and Retained, and give each one a number where you honestly have one. If you hold a credential such as CERTIFIED FINANCIAL PLANNER (CFP), CFP Board, list it in its own section.

Licenses and credentials

  • SIE
  • Series 7
  • Series 63
  • Series 65
  • Series 66
  • CFP
  • Life and Health Insurance License

Planning

  • Retirement Income Planning
  • Social Security Claiming Analysis
  • Roth Conversion Analysis
  • 529 Education Plans
  • Insurance Needs Analysis
  • Estate Planning Coordination
  • Cash Flow Planning

Investments

  • Asset Allocation
  • Portfolio Rebalancing
  • Tax-Loss Harvesting
  • Model Portfolios
  • ETFs and Mutual Funds
  • Bond Ladders

Compliance

  • Regulation Best Interest
  • Fiduciary Standard
  • Know Your Customer (KYC)
  • Suitability
  • Form ADV and Form CRS
  • Books and Records

Advisor technology

  • eMoney Advisor
  • MoneyGuidePro
  • Orion
  • Envestnet
  • Morningstar Office
  • Redtail CRM
  • Salesforce Financial Services Cloud

Action verbs

  • Advised
  • Grew
  • Retained
  • Rebalanced
  • Planned
  • Prospected

Certifications

  • CERTIFIED FINANCIAL PLANNER (CFP), CFP Board
  • Securities Industry Essentials (SIE), FINRA
  • Series 7 General Securities Representative, FINRA (requires firm sponsorship)
  • Series 66 Uniform Combined State Law Exam, NASAA (administered by FINRA)
  • State Life and Health Insurance Producer License

Match these against the job posting you are applying to: the free resume checker shows which keywords your resume is missing.

Financial Advisor resume bullet examples

The numbers are illustrative. Keep the structure (verb, action, measurable result) and use figures you can back up.

  • Grew assets under management from $58M to $104M in 4 years, with 70% of new assets coming from client and CPA referrals.
  • Delivered 82 written financial plans in eMoney in one year, each with a retirement income projection and a Social Security claiming analysis.
  • Retained 98% of 160 households through a 20% market drawdown by calling every client within 5 days and rebalancing to target.
  • Built a referral partnership with 3 CPA firms and 2 estate attorneys that produced 31 new households in 18 months.
  • Ran Roth conversion analyses for 45 pre-retirees, coordinating with each client's tax preparer before any conversion was placed.
  • Moved 120 accounts to model portfolios in Orion, cutting rebalancing time per review from 40 minutes to 10.
  • Completed insurance needs reviews for 60 young families, closing coverage gaps for 22 through life and disability policies.
  • Held 190 annual review meetings a year and documented every risk tolerance update in the CRM, with zero findings in a branch exam.
  • Prospected 14 local business owners through workshops on retirement plan options, opening 6 new SEP IRA and solo 401(k) plans.
  • Trained 2 associate advisors on planning software and review prep, preparing both to pass the Series 66 within a year.

How to stand out as a financial advisor applicant

Tailor every application to the posting: the resume, the cover letter and the answers you prepare for the interview.

  • Match the firm's model, not just the title

    "Financial advisor" covers wirehouse brokers, RIA planners, bank advisors and insurance-led practices. Read whether the posting stresses planning, investment management, insurance or new client acquisition, then lead with that work and the matching licenses. If the firm is an RIA built around fiduciary planning, cut product-sales language and lead with plans delivered. Tailor your advisor resume to the firm

  • Explain your client approach in the cover letter

    Hiring managers want to know who you serve and how you find them. In the cover letter, name your client niche, how most new households reach you and one planning case, kept anonymous, that shows your approach. Mention your license status and whether you need sponsorship so the conversation can move to fit. Write a financial advisor cover letter

  • Prepare for the business plan question

    Many firms ask how you would grow a practice in your first two years. Prepare a short plan: target client type, referral sources, activity numbers such as meetings per week and how you will serve existing households. Expect questions on suitability, a difficult client conversation and how you handled a market decline. Practice financial advisor interview questions

  • Align your LinkedIn profile with compliance

    Prospects and recruiters both check LinkedIn, but advisors' public posts are usually reviewed under their firm's communications rules. Keep your profile consistent with your resume, state your licenses and client focus, and ask your compliance team before posting performance claims. A clear headline does more than frequent posts. Improve your advisor LinkedIn profile

Salary (official data)

Official pay statistics for the occupation that matches this role, copied exactly as each statistics office publishes them.

  • United States

    Median gross annual pay: $105,070 a year · Median gross hourly pay: $50.51 an hour

    Middle half of earners: $72,440 to $176,790 · 10th to 90th percentile: $50,190 to $357,020

    Official occupation: Personal Financial Advisors (SOC 13-2052)

    Gross wages of employees in all industries, before deductions; excludes the self-employed.

    Source: U.S. Bureau of Labor Statistics, Occupational Employment and Wage Statistics, May 2025. Public domain.

  • United Kingdom

    Median gross annual pay: £53,940 a year

    Middle half of earners: £39,666 to £75,790

    Official occupation: Finance and investment analysts and advisers (SOC 2020 2422)

    Gross annual pay of full-time employee jobs (employees on adult rates in the same job for more than a year).

    Provisional figures: the publisher revises them a year later.

    Source: Office for National Statistics, Annual Survey of Hours and Earnings, tax year to 5 April 2026, licensed under the Open Government Licence v3.0.

  • Canada

    Median gross hourly pay: CA$43.00 an hour · Median gross weekly pay: CA$1,635 a week

    Official occupation group: Professional occupations in finance (NOC 2021 111)

    Usual gross wages of full-time employees (30 hours or more a week) at their main job, including tips, commissions and bonuses.

    Source: Statistics Canada, Table 14-10-0417-01 Employee wages by occupation, annual, 2025. Reproduced and distributed on an "as is" basis with the permission of Statistics Canada (Statistics Canada Open Licence). This does not constitute an endorsement by Statistics Canada of this product.

  • Ireland

    Mean gross annual pay of the whole major group: €70,522 a year

    Major occupation group: Professionals (ISCO-08 2)

    Mean gross annual earnings, including bonuses, for the whole major occupation group in enterprises with 10 or more employees. Eurostat publishes no median by occupation.

    Source: Eurostat, Structure of Earnings Survey (earn_ses22_28), 2022, CC BY 4.0. Ruubu matched the role to an ISCO-08 major group; Eurostat is not responsible for this use of its data.

Figures cover everyone in the official occupation, at every experience level. They are not a job offer, a forecast or a Ruubu estimate. Ruubu matches each role to the closest official occupation. An official occupation can include related jobs.

How we choose and show official salary data

Financial Advisor resume questions

How should I list my securities licenses?

Give each exam by number and name, and say whether you are currently registered. The SIE can be taken without a firm, while the Series 7 requires sponsorship by a FINRA member firm. The Series 63, 65 and 66 are NASAA state-law exams that FINRA administers. A line such as "Series 7 and 66, registered with current firm" removes any doubt.

My licenses lapsed after I left the industry. What do I write?

Exam qualifications generally expire two years after your registration ends. FINRA's Maintaining Qualifications Program can extend that window up to five years if you complete annual continuing education. Write the exam, the year you passed and the current status, for example "Series 7, passed 2019, kept active through the Maintaining Qualifications Program." Do not list a lapsed license as current.

How do I describe my book of business on a resume?

Use totals, never client names: households served, assets under management, average household size, retention rate and new assets gathered per year. Be careful about what you imply will follow you to a new firm, because non-solicitation terms in your current agreement may limit it. Hiring firms will discuss portability in the interview, not on paper.

Can I become a financial advisor without industry experience?

Yes. Common starting points are client service associate, paraplanner, bank or credit union investment roles, and firm training programs that sponsor your licenses. Passing the SIE before you apply shows commitment, since you can take it on your own. Lead your resume with any sales, teaching or client work and the finance coursework you have finished.

Do I need the CFP certification?

No license requires it, but it signals planning skill rather than product sales, and many firms prefer it for senior roles. CFP Board requires a bachelor's degree, approved coursework, the exam, an experience requirement (6,000 hours, or 4,000 on the apprenticeship path) and an ethics commitment. Until you are certified, write "CFP coursework complete, exam scheduled," not "CFP candidate."

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