Wells Fargo


Boston, Massachusetts



Postal Code:


Approximate Salary:

Not Specified

Position Type:

Full Time


415) 820-7800

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Wholesaler Associate 1

Wells Fargo - Boston, Massachusetts

Posted: 10/11/2018

Job Description

At Wells Fargo, we have one goal: to satisfy our customers’ financial needs and help them achieve their dreams. We’re looking for talented people who will put our customers at the center of everything we do. Join our diverse and inclusive team where you’ll feel valued and inspired to contribute your unique skills and experience.

Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.

Wealth and Investment Management (WIM) businesses build enduring client relationships through sound, thoughtful and objective advice. We help our clients by developing individualized plans for everything from retirement goals to business succession planning, to family legacy intentions. Services include comprehensive planning and advice, investment management, brokerage, private banking, estate planning strategies, trust, insurance and both individual and institutional retirement.

Wells Fargo Asset Management, a division of Wells Fargo Wealth and Investment Management, strives to help clients achieve their financial goals through top-tier investment options managed by specialized investment teams that are supported by independent risk management and backed by superior, collaborative service. With more than $504 billion in assets under management as of January 12, 2018, Wells Fargo Asset Management has 29 autonomous investment teams with specialized expertise and proven processes, more than 500 investment professionals, and a global reach with offices and clients around the world.

Job Duties

You will call on Financial Advisors at various broker/dealers to communicate strategies that increase product sales within the Wells Fargo Funds. You will partner with field wholesalers to develop and execute on a territory business plan to meet and exceed territory gross and net sales goals. You will utilize business tools to target key opportunities that align with corporate initiatives. As a Wholesaler Associate, you will focus on deepening relationships with existing financial advisors and identifying new sales opportunities. You'll provide support for field wholesalers as a home office point of contact and resolve complex questions regarding the mutual fund line-up, investment commentary, and practice management solutions. You must have a strong ability to multitask and prioritize while maintaining a flexible approach in a fast paced environment. Compensation is paid on base plus commission.

Candidates who do not have the 7 & 63 ready for registration upon hire will need to obtain the licenses in the first 90 days. Commission will not be earned until both the 7 and 63 (or 66) have been obtained.

Required Qualifications

  • 1+ year of sales experience
  • Successfully completed FINRA Series 6 (or 7) or 63 (or 66) exams to qualify for immediate registration (or FINRA recognized equivalents)
Desired Qualifications

  • Business development, financial product sales, and consultative selling experience
  • Excellent presentation skills
  • Excellent verbal, written, and interpersonal communication skills
  • Problem analysis and resolution skills
Other Desired Qualifications
  • Must have at least one of the following Active FINRA licenses in order to be considered: 7, 6, 63, or 66
  • 2+ years mutual funds sales or service experience
Job Expectations

  • Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position. In addition state registration, specific product licenses or SAFE licensing may apply. Additional requirements include meeting enhanced financial fitness and criminal background standards. Wells Fargo will initiate the FINRA review process at the time of offer acceptance.
  • Registration for FINRA Series Series 7 and 63 (or 66) must be completed within 90 days of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted.
  • For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be required

  • All offers for employment with Wells Fargo are contingent upon the candidate having successfully completed a criminal background check. Wells Fargo will consider qualified candidates with criminal histories in a manner consistent with the requirements of applicable local, state and Federal law, including Section 19 of the Federal Deposit Insurance Act.

    Relevant military experience is considered for veterans and transitioning service men and women.
    Wells Fargo is an Affirmative Action and Equal Opportunity Employer, Minority/Female/Disabled/Veteran/Gender Identity/Sexual Orientation.

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