The Spaventa Group (“TSG”) is a leading investment company located in new New York. We invest across various asset classes in addition to providing investment opportunities to both individual and institutional investors. Our asset management business specializes in investment vehicles focused on alternative assets, including venture capital and real estate, and our advisory business provides traditional financial services including wealth management, investment management, and insurance planning.

TSG is actively looking for talented and motivated individuals to become part of our team of outstanding investment professionals. As a company with multiple financial services divisions, TSG offers seasoned financial professionals and those aspiring to enter the finance industry the opportunity to excel in various areas of expertise.

Career Opportunities:

Private Placement Registered Representative

We are seeking a driven and qualified professional to play a key role in our expanding private placement business. In this role, you will leverage your expertise to identify and cultivate relationships with high-net-worth investors, while ensuring adherence to all regulatory requirements

Responsibilities

Source and qualify accredited investors for private placement offerings
Conduct in-depth due diligence on potential investment opportunities
Clearly communicate complex financial products and strategies to clients
Prepare and deliver presentations tailored to investor needs and risk tolerance
Ensure compliance with all FINRA regulations and state Blue Sky laws
Maintain meticulous records of all client interactions and transactions

Qualifications

Series 82 (or Series 7) and Series 63 licenses (or equivalent) required
Proven experience in private placements a strong plus
In-depth knowledge of Regulation D and other relevant securities regulations
Excellent communication and interpersonal skills to build strong relationships
Ability to work independently and manage multiple tasks simultaneously
Strong analytical and problem-solving skills

Financial Advisor or Insurance Agent

TSG Financial Advisors and Insurance Agents have a wealth of financial and investment- related experience, each with unique financial backgrounds. Professionals considering this role will have the independence to access a wide range of financial and investment products, including alternative assets. They can opt to create investment portfolios or utilize our portfolio managers. Most importantly, they will receive substantial support from our company in building and managing a dedicated team to facilitate business growth.

Qualifications:

Bachelor’s degree in finance, business, or related field preferred but not required
Securities licenses, including Series 65 or 66, or insurance license(s) (or willingness to obtain necessary licenses)
Proven experience as a Financial Advisor, Insurance Agent, or in a related financial advisory role
Strong understanding of financial planning, investment management, and wealth management strategies; strong understanding of insurance products, coverage types, and insurance regulations
Demonstrated ability to develop and maintain and client relationships
Ethical and professional conduct with a commitment to clients' best interests

Investor Relations Associates

TSG Investor Relations (IR) Associates play a pivotal role in introducing investors to the TSG brand and proactively cultivating investor relationships. Their specific responsibilities encompass assisting TSG financial professionals in broadening their client networks and addressing inquiries from prospective and existing clients.

The IR Associate role is primarily an entry-level position.

What We Offer

Depending on the opportunities you select, TSG and its various subsidiaries offer competitive compensation packages, the ability to provide clients with a diverse portfolio of financial products, potentially resulting in larger Assets Under Management (AUM) and a broader client base, all within an ambitious and motivating work environment.

Key benefits include:

Competitive Compensation: Your compensation package, including salary, commissions, and profit participation, will be tailored to your specific role within the organization.
Unlimited Earnings Potential: At TSG, we operate as a true meritocracy, meaning there is no cap on your earning potential.
Supportive Team Environment: We prioritize your professional development and offer a supportive team environment designed to help you advance within the financial services industry.
Access to Industry-Leading Tools: You will have access to cutting-edge tools and software to assist you in delivering top-notch service to your clients.
Ongoing Training: We provide continuous training and resources to enhance your education and ensure you stay up-to-date with industry trends.
Business Growth Support: Our commitment extends to assisting you in growing and efficiently managing your business, allowing you to reach your full potential.

Join our team and seize the opportunity to thrive in a rewarding and dynamic financial services environment. Your potential for success is unlimited at TSG.

TSGA is an Equal Opportunity Employer. We are committed to equal employment opportunity for all applicants and existing employees, and we evaluate qualified applicants without regard to ancestry, age, color, disability, genetic information, gender, gender identity, or gender expression, marital status, medical condition, military or veteran status, national origin, race, religion, sex, sexual orientation, and any other basis protected by federal, state, or local law, ordinance, or regulation.

The Spaventa Group

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Private Placement Representative