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We service clients in multiple states. Physical Locations in Florida, Georgia, & Alabama.

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Careers | U-Vest® Financial

As you know, being a financial advisor is a rewarding career.

You help people manage and help to secure their financial futures while doing the same for yourself. But the business challenges can be daunting and tiresome. You want to spend more time with clients, yet focused time is harder to come by.

Do you find yourself:

1.

1.

Managing the paperwork and worry that comes with complicated and ever-changing compliance requirements?

2.

2.

Trying to keep up with technology that seems to change just as you get used to it?

3.

3.

Watching technology fees, accounting expenses and insurance costs — business and personal — diminish your hard-earned compensation?

U-Vest® Financial is on a mission to grow the company into one of the largest and most experienced financial advising groups in Florida and the surrounding areas.

Client Centered

Advisors who join or partner with U-Vest® Financial maintain control of their client base. We put death/disability agreements in place on day one to be purchased if something happens to you. And should you ever choose to sell your practice, you already have a buyer in U-Vest® Financial.



Client Centered

We understand one size does not fit all. With that in mind, we offer three business models.


Check them out below!

Included with ALL business affiliations:

The following benefits are included with all of our business models:

  • You immediately have the benefits of being part of a growing practice & advisor-centric culture. Advisors collaborate on ideas and cover for each other when one may be out of office. 
  • You keep ownership value in your practice until you decide to sell.
  • By affiliating with U-Vest® Financial and our broker, you may benefit from your Advisory Accounts Program fee potentially being reduced.
  • As an affiliate, you will have the choice to use our recognized U-Vest® Financial brand.
  • Death/Disability Agreements are put in place to protect your practice.

You have options:

Our Process


We consider the “independent” affiliation as a foot in the door to building a strong relationship with our U-Vest® Financial Team. Advisors running silo offices are still fully responsible for their expenses, but it is a step forward in joining a company and building a relationship.

The benefits of this affiliation are: 

  • All of the above advantages included in “ALL” Affiliations. 
  • Compensation is directly from broker dealer at up to 90% pay rate. This pay is a 1099 arrangement with the broker dealer.
Our History


This affiliation is a hybrid of our “Independent” and “All-In” affiliations. You still manage all of your office expenditures; however, we provide the option of licensed staff for paperwork/processing, management of investment portfolios, and other benefits to cut down your work requirements. We view this affiliation as “A-La-Carte”. This affiliation's objective is to allow advisors to continue to work, but have a full support staff. Advisors under this affiliation are “1099” contractors with U-Vest® Financial.

The benefits of this affiliation are: 

  • All of the above advantages included in “ALL” Affiliations. 
  • Option to have a dedicated licensed staff advisor work directly with you on all paperwork, processing, follow-up, and other licensed activities. 
  • Option to have full access to our marketing team in promoting not just U-Vest® Financial in your area, but also items you may want to create like seminars, videos, or other marketing items directly focused on growing your practice. 
  • Option to utilize our portfolio management team, to take the investment side of the business off of your plate, without sacrificing the fees & control that may be given up by using other platforms.  
  • Option to utilize our unlicensed staff to schedule your meetings, manage your calendar, keep up with your CRM system, etc.


Our Values


Our “All-In” affiliation is most common for advisors within 5-10 years of retirement or do not want any of the responsibilities of managing a business. With the “All-In” affiliation, all of your practice expenses, lease, overhead, broker fees, etc., are paid by U-Vest® Financial. However, you still retain value in your practice to sell at a later date whenever you are ready. You are provided assistance from a fully licensed assistant, can utilize management assistance on your portfolios, have staff access for CRM systems/client scheduling, and no longer have to worry about any of the aspects of technology or business structure changes at your broker-dealer. 

The benefits of this affiliation are: 

  • 401(k) Safe Harbor Contributions of 3% 
  • Social Security / Medicare tax half paid. Currently, 7.65% of income paid by employer  
  • 401(k) Profit Sharing (Varies each year, optional based on profits) 
  • Access to Group Health Insurance Benefits, if necessary.
  • And more!

(Note, this is a W-2 Affiliation. You can elect to be a 1099 instead of W-2 but most advisors do not see a benefit in this.)


Call us for more information!

Advisors who join or partner with U-Vest™ Financial maintain control of their client base. Interested? Let's talk.

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THIS WEB PAGE IS DESIGNED FOR INVESTMENT PROFESSIONALS

This information is meant for recruiting purposes only. Please note services (health insurance, 401(k), expense coverage, office space, staff, etc.) offered through U-Vest™ Financial are separate from any access to products and services offered through Waddell & Reed, Inc. (WRI). WRI is not responsible for any services offered directly through U-Vest™ Financial.

Joining U-Vest™ Financial will require background checks due to the association with WRI and due to regulatory requirements. There is no specific requirement to join U-Vest™ Financial to be accepted as independent Financial Advisor with WRI nor is there any guarantee that WRI will accept any independent financial advisor candidate.

Securities and investment products and services offered through Waddell & Reed, Inc. (WRI), Member FINRA/SIPC. U-Vest™ Financial is a separate entity from WRI.

(03/21)