• Mantra and Core Values
  • From the Chairman
  • The Team
  • Social Responsibility
  • News
  • Careers

Mantra and Core Values

Our Mantra

American Portfolios must seek out the best business solutions, support and services that its financial professionals require to achieve financial freedom for their clients.

Nurture

American Portfolios’ first responsibility is to its valued employees, the men and women working for us, who provide the highest level of service to our customers—our affiliated financial professionals. American Portfolios is committed to providing a clean, safe, and orderly workplace where employees are treated with respect and dignity, and are recognized for the unique and special qualities they bring to their jobs. American Portfolios encourages equal opportunities in employment, development, and advancement. Employees should feel secure in their positions, know they will be compensated fairly and adequately, and feel free to offer suggestions or bring forth concerns.


Launch

Providing optimal service and support to the financial service professionals, their staff, and their clients as well as all others who use our services is one of American Portfolios’ core responsibilities. We must strive to meet our customers’ needs with the highest level of quality and dedicate ourselves to setting the standard of service excellence for our industry.


Give

Fostering positive social and environmental change in the communities where we live and work as well as in the global community is paramount. We must be responsible citizens through our support of good works, honest charities, civic improvements, better health, and education. We must maintain in good order the property we are privileged to use by protecting the environment and its natural resources.


Aim

Shareholder value, our commitment to stockholders, is our final responsibility. Business must make a sound profit. Therefore, we must strive to achieve a balance among the fiscal, social, and environmental responsibilities of our firm, experiment with new ideas and develop new technologies in our efforts to stay ahead of the competition, and create reserves to prepare for adversity. It is our belief that when we operate according to these principles, shareholders will realize a fair return.


From the Chairman

From the Chairman

I thank you for the opportunity to introduce our company to you.

A Message from Lon T. Dolber

American Portfolios was conceived by a group of like minded, independent financial service professionals, committed to serving their clients by offering sound financial guidance or planning along with solid investment advice. The firm is owned and operated by individuals who have all worked with clients of their own. I started in the financial services field in 1978 when I was brought into the business by my father Hy Dolber.

As professionals, we will not tolerate or recognize any obligation to market the services or investment products produced by any single company. We understand what it means to seek out and to offer only the best products or services available, without conflict or compromise and this is the same commitment we make to our representatives.

The financial services industry is dynamic and evolving. Barriers have fallen and investors face an almost unlimited and often confusing variety of financial products and investment choices. We believe that financial professionals must have access to a diverse selection of unbiased and high quality investment products and services in order to best meet their client’s objectives.

I thank you for the opportunity to introduce our company to you. We are proud of what has been accomplished thus far and hope that our vision someday may be of benefit to you.

-Lon T. Dolber


The Team

The Team

We believe that the success of a company is made possible through the hard earned efforts of its people. By Bringing together the most expert and imaginative people in a culture that embraces technology and the courage to think independently, we create true value in our services, our recommended portfolios and our company.

Core Team

Lon T. Dolber

CEO and President, American Portfolios Holdings, INC (APH) President, American Portfolios Financial Services, Inc. (APFS)

Timothy O'Grady

President of Sales and New Business Development, APFS

631.439.4600, ext. 285

Lisa DiBella

Vice President of Human Resources, APH

631.439.4600, ext. 280

Dean Bruno

Chief Operating Officer, APFS

Robert M. Dolber

Chief Technology Officer, APFS

Gary Gordon

President of American Portfolios Advisors, Inc., APA

Damon B. Joyner

Chief Financial Officer, APH

Dalchand Laljit

Executive Vice President, Chief Administrative Officer, APH

Frank A. Tauches, Jr.

Executive Vice President, General Counsel and Chief Risk Officer, APH

James D. Goedtke

Senior Vice President, Due Diligence Analyst and Product Manager, APFS

Anne Antunovich

Vice President of Finance and Accounting, APH

Kimberly A. Branch, CFP, CLTC

Vice President of Marketing Strategy, APFS

Philip Bredow

Vice President of Operations, APFS

Andrew Dorfman

Vice President of Platform Development, APH

Melissa Grappone

Vice President of Marketing and Corporate Communications, APH

Jeffrey Kahn

Vice President of Surveillance, APFS

Martin Wendel

Vice President and Chief Compliance Officer, APFS

Maria Zarb

Vice President of Business Services, APFS

American Portfolios Holdings, Inc. (APH) Board Members

Lon T. Dolber

Chief Executive Officer,, President and Chairman of the Board

Damon B. Joyner

Chief Financial Officer, Director

Dalchand Laljit

Executive Vice President and Chief Administrative Officer, Director

Frank A. Tauches, Jr., Esq.

Executive Vice President, General Counsel and Chief Risk Officer, Director

Tom M. Wirtshafter

Senior Vice President, Director

Atindra Barua

Executive Vice President of Technology Strategy, Director

APH Advisory Board Members

Arthur Goldberg

Co-Founder of Integrated Resources Inc.

Jay Lewis

Founder of Nathan & Lewis Securities

Norman Malo

Former President and CEO of National Financial Services, LLC

Steven E. Rothstein

Former Executive Vice President and CFO of AIG Advisor Group Inc.

Paul Tyler

Senior Vice President of Strategy and Corporate Development of Fidelity Guarantee Life

Robert J. Moses

Former General Counsel and Senior Vice President of First Allied Securities, Inc.

Social Responsibility

Our Promise

We promise to always act with integrity, never sacrificing our advisor's or client's interests for the sake of our own. We hold ourselves responsible not only to our customers, but also to our communities.

Dome Project

The DOME (Developing Opportunities through Meaningful Education) Project provides young people with alternatives to the negative pressures they face in their communities to help them develop a healthy, positive sense of self. American Portfolios champions the Dome Project's world to empower young Americans living under difficult circumstances.


The Leukemia & Lymphoma Society

The Leukemia & Lymphoma Society (LLS) is the world's largest voluntary health organization dedicated to funding research for blood cancer cures, distributing free information and services, and enabling blood cancer patients to live better, longer lives. American Portfolios' support of this organization is rooted in an experience that touched a valued employee, Dean Bruno, diagnosed in May 2013 with Stage 3 Nodular Sclerosis Hodgkin's Lymphoma. Today, he remains cancer-free, thanks to research funding provided by LLS.


Virtual Enterprises International (VEI)

VEI is a non-profit organization that offers in-school experiential learning programs for high school students to form entrepreneurial, start-up businesses within a live global simulated setting. APFS has been a fervent supporter of VEI’s mission to foster future business leaders early in their academic careers. APFS has been involved in the judging and sponsorship of VEI’s local student competitions, providing them with the backdrop of a true corporate experience. AP Also provides mentorship and internship opportunities for the entire VEI network, connecting them to its affiliated financial professionals located in more than 300 branches throughout the nation.


World T.E.A.M. Sports

World T.E.A.M. (The Exceptional Athlete Matters) Sports creates and organizes inclusive athletic events with teams of disabled and able-bodied athletes that challenge them to accomplish goals they never thought possible. American Portfolios is an active supporter of World Team Sports; our employees, affiliated advisors and business partners have been participating in events and raising money for this non-profit organization since 2006.


News

News

Great communication comes from transparency. Get the latest.

2019

American Portfolios Gears Up as Presenting Partner for the World T.E.A.M. 2019 Face of America Gettysburg Bike Ride

HOLBROOK, N.Y. (April 22, 2019) — American Portfolios Financial Services, Inc. (AP), a privately-held, independent broker/dealer that provides services and support to financial advisors throughout the country, will serve as Presenting Partner for the World T.E.A.M. (WT) 2019 Face of America – Gettysburg (FOA) bike ride, set to take place on May 3-5, 2019. WT […]

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American Portfolios Financial Services Hosts 2019 Virtual Enterprises International Business Plan Competition

HOLBROOK, N.Y. (March 11, 2019) — American Portfolios Financial Services, Inc. (AP), a privately-held, independent broker/dealer that services financial advisors across the country, hosted the finals for the eighth annual Long Island Virtual Enterprises International (VEI) Business Plan Competition on Feb. 26, 2019.  VEI is a non-profit organization that offers in-school experiential learning programs for […]

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American Portfolios Assistive Technology Lab Officially Opens at The Center for Discovery’s Technology Hub and Incubator

HOLBROOK, N.Y. (Jan. 23, 2019) — American Portfolios Financial Services, Inc. (AP), a privately-held, independent broker/dealer that services financial advisors across the country, is pleased to announce the official opening of the American Portfolios Assistive Technology Lab at The Center for Discovery’s (TCFD) Technology Hub and Incubator (THINC). A ribbon cutting ceremony for the next-generation […]

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American Portfolios Chosen as One of the Best Companies to Work for in New York State for Fourth Year in a Row

HOLBROOK, N.Y. (Jan. 18, 2019)—For the fourth consecutive year, American Portfolios Financial Services, Inc. (AP), a privately-held, independent broker/dealer that services financial advisors across the country, has been named one of the Best Companies to Work for in New York State for 2019 by the New York State Society for Human Resources Management (NYS-SHRM) and […]

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American Portfolios Donates $25k to Long Island Cares for Federal Government Employees Affected by the Current Government Shutdown

HOLBROOK, N.Y. (Jan. 18, 2019)—American Portfolios Financial Services, Inc. (AP), a privately-held, independent broker/dealer that services financial advisors across the country, recently donated $25,000 in support of the Long Island Cares campaign to provide various points of assistance to those federal government employees who have been affected by the current government shutdown. The donated funds, […]

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American Portfolios Assistive Technology Lab Opens at the Technology Hub and Incubator (THINC) at The Center for Discovery

American Portfolios Issues Joint Press Release with The Center for Discovery: Dedicated Laboratory for the Development of New Products and Assistive Technologies for All HURLEYVILLE, N.Y. (Jan. 10, 2019) — A next-generation assistive technology lab was officially opened today at The Center for Discovery’s (TCFD) Technology Hub and Incubator (THINC) with the sole purpose of […]

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2018

American Portfolios CEO Lon Dolber Named Hometown Hero by NHL’s New York Islanders

HOLBROOK, N.Y. (Dec. 26, 2018)—American Portfolios Financial Services, Inc. (AP) CEO and President Lon T. Dolber has been formally recognized by the NHL’s New York Islanders as a Hometown Hero, a program presented by New York Community Bank and the NYCB Family of Banks that celebrates people who make a difference in their local communities. […]

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American Portfolios Launches a Unified Managed Account, Among Other Tech Initiatives, for its Affiliated Investment Professionals

HOLBROOK, N.Y. (Dec. 3, 2018)—American Portfolios Financial Services, Inc. (AP), a privately-held, independent broker/dealer that services financial advisors across the country, recently launched its Unified Managed Account (UMA)—a private investment account that is professionally managed, allowing for a combination of all asset class strategies in one account; investments may include mutual funds, exchange traded funds, […]

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American Portfolios’ Studio 454 Earns Two Prominent Industry Awards in 2018

HOLBROOK, N.Y. (Nov. 15, 2018) — American Portfolios Financial Services, Inc. (AP), a privately-held, independent broker/dealer that services financial advisors across the country, is pleased to announce that the firm’s media production arm, Studio 454, has recently earned two prestigious video industry awards: the 2018 Communicator Award of Distinction and the 2018 Videographer Award of […]

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American Portfolios Financial Services Hosts Record-Breaking Annual National Conference at Mohegan Sun

HOLBROOK, N.Y. (Nov. 12, 2018)—American Portfolios Financial Services, Inc. (AP), a privately-held, independent broker/dealer that services financial advisors across the country, recently hosted its annual national conference, Connections 2018, at Mohegan Sun in Uncasville, Conn. As a business solutions provider serving approximately 800 affiliated investment professionals throughout the United States, the three-day event, which began […]

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American Portfolios Financial Services Named One of the Top Long Island Workplaces for 2018 by Newsday

HOLBROOK, N.Y. (Oct. 31, 2018)—American Portfolios Financial Services, Inc. (AP), a privately-held, independent broker/dealer that services financial advisors across the country, has been named one of the Top Long Island Workplaces for 2018 by Newsday. Among the 74 Long Island-based, small- to large-sized companies recognized, AP ranked No. 4 out of 42 small employers with […]

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American Portfolios Ascends to Presenting Partner for World T.E.A.M.’s Face of America Cycling Event for Adaptive and Able-Bodied Athletes

HOLBROOK, N.Y. (Oct. 15, 2018)—American Portfolios Financial Services, Inc. (AP), a privately-held, independent broker/dealer that services financial advisors across the country, announced today that it is increasing its support for World T.E.A.M. (WT), a national non-profit organization that brings adaptive and able-bodied athletes together by empowering, enabling and engaging individuals through inclusive athletic events. Through […]

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American Portfolios Proudly Participates in 2018 World T.E.A.M. Face of America Liberty Ride

HOLBROOK, N.Y. (Oct. 2, 2018) — American Portfolios Financial Services, Inc. (AP), a privately-held, independent broker/dealer that provides services and support to financial advisors throughout the United States, continues its long-standing support of World T.E.A.M. (WT) by raising funds and participating in Face of America (FOA) Liberty, a one-day bicycle and hand-cycle ride to honor […]

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American Portfolios Assembles its Leading and Influential Investment Professionals at the Firm’s 2018 Leaders Conference

HOLBROOK, N.Y. (Sept. 18, 2018)—American Portfolios Financial Services, Inc. (AP), a privately-held, independent broker/dealer that services financial advisors across the country, invited its top investment professionals to the 2018 Leaders Conference, held from Sept. 6-9, 2018, in Chicago, Ill. The conference is the four-time Broker-Dealer of the Year* winner’s distinctive way of recognizing those investment […]

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American Portfolios Financial Services, Inc. Named 2018 Broker-Dealer of the Year by Investment Advisor Magazine Four Years Running

HOLBROOK, N.Y. (Aug. 29, 2018)—American Portfolios Financial Services, Inc. (AP), an independent broker/dealer that serves affiliated financial advisors nationwide, is proud to announce that it has been named Broker/Dealer of the Year in 2018 by Investment Advisor magazine for the fourth year in a row. For the past 28 years, Investment Advisor magazine’s editorial staff […]

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American Portfolios Supports World T.E.A.M. by Sponsoring the 2018 Coastal Team Challenge

HOLBROOK, N.Y. (Aug. 28, 2018) — American Portfolios Financial Services, Inc. (AP), a privately-held, independent broker/dealer that provides services and support to financial advisors throughout the country, continues its long-standing support of World T.E.A.M.’s (WT) mission to “change lives through sports” by sponsoring the non-profit organization’s Coastal Team Challenge (CTC), a 16-nautical-mile kayak journey that […]

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American Portfolios Affiliated Investment Professional Speaks at UN Sustainable Development Forum at the Peace Boat Partnership Expo

HOLBROOK, N.Y. (Aug. 15, 2018) — American Portfolios Financial Services, Inc. (AP) affiliated investment professional, and president and founder of AJF Financial Services, Inc., Andrew J. Friedman recently spoke at a forum on sustainable development at the inaugural Peace Boat Partnership Expo, which took place on July 12, 2018, in Manhattan, N.Y. The expo—which highlights […]

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American Portfolios Officially Launches Client-Facing Portal Within its Proprietary Technology Platform

HOLBROOK, N.Y. (Aug. 14, 2018) — American Portfolios Financial Services, Inc. (AP)—a privately-held, independent broker/dealer which provides services and support to investment professionals throughout the country—officially launched  Client Access, a new investor-focused application on the company’s  proprietary technology platform, HomePort. Designed with the express purpose of creating value-added services all around, AP’s affiliated colleagues may […]

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American Portfolios Sponsors and Participates in World T.E.A.M. Sports 2018 Adventure Team Challenge in Conjunction with The Center for Discovery

HOLBROOK, N.Y. (June 13, 2018) — American Portfolios Financial Services, Inc. (AP), a privately-held, independent broker/dealer which provides services and support to financial advisors throughout the country, continues its long-standing support of World T.E.A.M. Sports’ (WTS) and The Center for Discovery (The Center) through its sponsorship and participation in the ninth annual Adventure Team Challenge […]

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American Portfolios Places in Top 10 Small Best Companies to Work for in New York State for 2018

HOLBROOK, N.Y. (May 24, 2018)—For the third consecutive year, American Portfolios Financial Services, Inc. (AP), a privately-held, independent broker/dealer that services financial advisors across the country, has ranked within the Top 10 Small Best Companies to Work for in New York State for 2018 by the New York State Society for Human Resources Management (NYS-SHRM) […]

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American Portfolios CEO Lon T. Dolber Honored at The Center for Discovery’s 2018 Gala

HOLBROOK, N.Y. (May 9, 2018) — American Portfolios Financial Services, Inc. (AP) CEO Lon T. Dolber was formally acknowledged by The Center for Discovery (The Center) as its 2018 Honoree at the non-profit organization’s annual “Evening of Discovery Gala,” which was held May 2, 2018, at Pier Sixty, Chelsea Piers in New York, N.Y, and […]

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American Portfolios Supports World T.E.A.M. Sports by Sponsoring and Participating in 2018 Face of America Bike Ride

HOLBROOK, N.Y. (May 8, 2018) — American Portfolios Financial Services, Inc. (AP), a privately-held, independent broker/dealer that provides services and support to financial advisors throughout the country, continues its long-standing support of  World T.E.A.M. Sports (WTS) with the 2018 Face of America (FOA) bike ride, which took place April 27-29, 2018. WTS is a non-profit […]

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American Portfolios Financial Services Hosts 2018 Virtual Enterprises International Business Plan Competition

HOLBROOK, N.Y. (March 13, 2018) — American Portfolios Financial Services, Inc. (AP), a privately-held, independent broker/dealer that services financial advisors across the country, hosted the finals for the eighth annual Long Island Virtual Enterprises International (VEI) Business Plan Competition on Feb. 28, 2018. Students from nine VEI-participating high schools located throughout Long Island convened at […]

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American Portfolios Financial Services Launches 2018 Connections Tour

HOLBROOK, N.Y. (Feb. 22, 2018)—American Portfolios Financial Services, Inc. (AP), a privately-held, independent broker/dealer that services financial advisors nationwide, has officially launched its 2018 Connections Tour. On Jan. 24, 2018, AP held the first regional meeting in the Connections Tour lineup at its headquarters in Holbrook, N.Y. According to attending affiliated colleagues, focus partners and […]

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American Portfolios Chosen as One of the Best Companies to Work for in New York State for Third Year in a Row

HOLBROOK, N.Y. (Jan. 25, 2018)—For the third consecutive year, American Portfolios Financial Services, Inc. (AP), a privately-held, independent broker/dealer that services financial advisors across the country, has been named one of the Best Companies to Work for in New York State for 2018 by the New York State Society for Human Resources Management (NYS-SHRM) and […]

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2017

American Portfolios CEO Returns Post-Fundraiser to Thame Valley to Witness Rebuilding Efforts After 2015 Nepal Earthquakes

HOLBROOK, N.Y. (Dec. 12, 2017) — Following the earthquakes of April and May 2015, American Portfolios Financial Services, Inc. (AP) CEO Lon T. Dolber pledged to return to Nepal’s Thame Valley to witness first-hand the rebuilding efforts that were made possible thanks, in part, to the privately-held independent broker/dealer’s firm-wide fundraiser. Since 2015, AP has […]

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American Portfolios Officially Launches HomePort, a Proprietary Technology Platform for Financial Advisors, Office Support and End Clients

HOLBROOK, N.Y. (Dec. 5, 2017) — American Portfolios Financial Services, Inc. (AP), a privately-held, independent broker/dealer which provides business solutions and support to financial advisors throughout the country, officially launched its proprietary technology platform, HomePort, which has been designed specifically for its affiliated investment professionals and their clients, as well as the firm’s home office […]

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Cliff T. Walsh, CFA, Joins American Portfolios Financial Services, Inc.

HOLBROOK, N.Y. (Nov. 30, 2017)—Independent broker/dealer American Portfolios Financial Services, Inc. (AP) is pleased to formally announce that Cliff T. Walsh, CFA, has joined the firm in the capacity of vice president of asset management. In his role, Walsh will lead and carry forward the investment direction of AP’s Nine Points Investment Management (NPIM) portfolios and build […]

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American Portfolios Proudly Participates in the World T.E.A.M. Sports Liberty Ride

HOLBROOK, N.Y. (Nov. 28, 2017) — American Portfolios Financial Services, Inc. (AP), a privately-held, independent broker/dealer which provides services and support to financial advisors throughout the United States, continues its long-standing support of World T.E.A.M. Sports (WTS) by raising funds and participating in Face of America (FOA) Liberty, a one-day bicycle and hand-cycle ride to […]

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American Portfolios Financial Services Hosts 16th Annual National Conference at Mohegan Sun

HOLBROOK, N.Y. (Nov. 3, 2017)—Independent broker/dealer American Portfolios Financial Services, Inc. (AP) recently hosted its annual national conference, Connections 2017, at Mohegan Sun in Uncasville, Conn. As a business solutions provider serving approximately 800 affiliated investment professionals throughout the United States,  the three-day event, which began on Oct. 25 and concluded on Oct. 27, provided […]

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American Portfolios Launches its Nine Points Investment Management Web Site

HOLBROOK, N.Y. (Oct. 3, 2017) — American Portfolios Financial Services, Inc. (APFS) has officially launched a public-facing, FINRA-approved Web site introducing Nine Points Investment Management (NPIM) to the financial advisor community, as well as to existing and prospective clients. NPIM is the investment management division of American Portfolios Advisors, Inc. (APA), the firm’s registered investment […]

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American Portfolios Continues its Support of World T.E.A.M. Sports by Participating in 2017’s Adventure Team Challenge, Coastal Team Challenge and Upcoming Liberty Ride on Oct. 8

HOLBROOK, N.Y. (Sept. 28, 2017) — American Portfolios Financial Services, Inc. (APFS) continues its long-standing support of the World T.E.A.M. Sports (WTS) mission through participation in two events this past summer and an upcoming one this fall on Oct. 8. Following the success of the annual Face of America (FOA) bike ride in April 2017, […]

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Damon B. Joyner Joins American Portfolios

HOLBROOK, N.Y. (Sept. 11, 2017) — Damon B. Joyner, financial services executive and business leader, has officially joined American Portfolios Financial Services, Inc.’s (AP) executive management team in the capacity of Chief Financial Officer (CFO). Joyner brings his more than 29 years of financial services industry experience to the privately-held, independent broker-dealer (IBD) that services […]

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American Portfolios Addresses SRI through the Launch of its Nine Points Investment Management Impact Portfolios

HOLBROOK, N.Y., Sept. 07, 2017 (GLOBE NEWSWIRE) — American Portfolios Financial Services, Inc. (AP) has added to its long-standing commitment to corporate social responsibility—including its support of non-profit organizations such as World T.E.A.M. Sports, Virtual Enterprises International and The Dome Project—by launching the Nine Points Investment Management (NPIM) Impact Portfolios. Through Socially Responsible Investing (SRI), […]

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American Portfolios Financial Services, Inc. Named 2017 Broker-Dealer of the Year by Investment Advisor Magazine for the Third Year in a Row

Holbrook, N.Y., Sept. 05, 2017 (GLOBE NEWSWIRE) — American Portfolios Financial Services, Inc. (AP) is proud to announce that it has been named Broker/Dealer of the Year in 2017 by Investment Advisor magazine for the third year in a row. Each year since 1991, Investment Advisor magazine’s editorial staff have invited registered representatives of independent […]

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American Portfolios Senior Executive Brings Thought Leadership Skills to Fifth Graders Through Poetry

HOLBROOK, N.Y.—(Aug. 25, 2017) – Vice President of Marketing & Corporate Communications Melissa Dolber Grappone of American Portfolios Financial Services, Inc. (AP) recently presented 16 fifth grade students at R.D. Seymour School in East Granby, Conn., with their published poetry exchanges, which they co-authored with Grappone and Writer/Health Club Owner Don Foxe just one day […]

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American Portfolios’ Studio 454 Earns 2017 Videographer Award of Distinction

HOLBROOK, N.Y. (July 27, 2017) — American Portfolios Financial Services, Inc. (AP) is pleased to announce that the firm’s media production arm, Studio 454, has earned a 2017 Videographer Award of Distinction within the “Web-Based Production/Video for the Web – Event” category. The winning video submission, entitled “American Portfolios National Conference 2016 Recap,” highlights Connections […]

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American Portfolios Financial Services Finalizes TrustFort Acquisition to Further Develop its Proprietary Business Technology Platform

HOLBROOK, NY–(Marketwired – June 16, 2017) – American Portfolios (AP) has officially acquired the intellectual property and developmental capabilities of TrustFort, a comprehensive IT solutions provider for the financial industry, in order to foster future strategic business initiatives that will benefit its family of investment professionals. One area within the financial services industry experiencing rapid […]

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American Portfolios Assembles its Leading and Influential Investment Professionals at the Firm’s 2017 Leaders Conference

HOLBROOK, NY–(Marketwired – June 06, 2017) – American Portfolios Financial Services, Inc. (APFS) invited its top investment professionals at the 2017 Leaders Conference, held from May 18-21, in Jackson Hole, Wyo. The conference is the firm’s distinctive way of recognizing those advisors and managers who demonstrated exceptional performance in business during 2016.

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American Portfolios General Counsel and Affiliated Advisor Conduct Ceremony to Honor Local WWII Veteran

HOLBROOK, NY–(Marketwired – May 10, 2017) – On May 3, 2017, EVP of American Portfolios Holdings, Inc. (APH) and Chief Legal Counsel Frank A. Tauches Jr., and American Portfolios Financial Services, Inc. (APFS) affiliated financial advisor William Donahue, arranged a ceremony to honor local World War II (WWII) military veteran Vincent Robert Long. Long — […]

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American Portfolios Supports World T.E.A.M. Sports by Sponsoring and Participating in 2017 Face of America Bike Ride

HOLBROOK, NY–(Marketwired – May 05, 2017) – American Portfolios Financial Services, Inc. (APFS) continues its long-standing support of World T.E.A.M. Sports with the 2017 Face of America (FOA) bike ride, which took place April 28-30, 2017.

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American Portfolios Places in Top 5 Small/Mid-Size Best Companies to Work for in New York for 2017

HOLBROOK, NY–(Marketwired – May 02, 2017) – American Portfolios Financial Services, Inc. (APFS) was recently included in the Top Five Best Small/Mid-Size Companies to Work for in New York. Ranked by the New York State Society for Human Resources Management (NYS-SHRM) and the Best Companies Group (BCG), APFS was ranked among 46 New York businesses […]

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American Portfolios Financial Services Introduces FREE — A New Blog Geared Toward Investment Professionals

HOLBROOK, NY–(Marketwired – April 20, 2017) – American Portfolios Financial Services, Inc. (APFS) recently launched FREE — a new blog that is designed specifically for its family of affiliated investment professionals and the financial services industry at large.

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American Portfolios Financial Services Officially Launches its 2017 Connections Tour

HOLBROOK, NY–(Marketwired – April 05, 2017) – American Portfolios Financial Services, Inc. (APFS) has officially launched its 2017 Connections Tour. On March 2, 2017, APFS held the first regional meeting in the Connections Tour lineup at its headquarters in Holbrook, N.Y. Attending affiliated colleagues, focus partners and home office staff members concluded that the tour’s […]

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American Portfolios Financial Services Hosts 2017 Virtual Enterprises International Business Plan Competition

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American Portfolios Chosen as One of the Best Companies to Work for in New York for Second Year in a Row

HOLBROOK, NY–(Marketwired – January 25, 2017) – For the second consecutive year, American Portfolios Financial Services, Inc. (APFS) has been included among an elite group of top employers by being named one of the Best Companies to Work for in New York 2017 by the New York State Society for Human Resources Management (NYS-SHRM) and […]

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American Portfolios Promotes Dalchand Laljit to EVP of Business Processes and Organizational Development

HOLBROOK, NY–(Marketwired – January 13, 2017) – American Portfolios Financial Services, Inc. (APFS) has recently promoted Dalchand Laljit to a strategic leadership position as executive vice president of business processes and organizational development.

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2016

American Portfolios Deploys Phase Two of E-Sign Functionality Within its Web-Based Business Workflow Process

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American Portfolios Financial Services, Inc. Celebrates 15-Year Anniversary at National Conference, Connections 2016

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American Portfolios Recognizes Top-Earning Investment Professionals at Firm’s 2016 Honors Conference

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American Portfolios Financial Services, Inc. Named 2016 Broker-Dealer of the Year by Investment Advisor Magazine for Two Years Running

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American Portfolios Financial Services Sponsors NYIT School of Management Corporate Challenge 2016

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American Portfolios Supports World T.E.A.M. Sports by Sponsoring and Participating in 2016’s Face of America Bike Ride

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American Portfolios Holdings, Inc. Appoints TrustFort President and CEO Atindra Barua to Its Board of Directors

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American Portfolios Honors Top-Earning Investment Professionals at Firm’s 2016 Leaders Conference

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American Portfolios Ranked No. 1 Best Company to Work for in New York for Small/Mid-Size Companies

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American Portfolios Financial Services CEO Lon T. Dolber to Be Honored at Virtual Enterprises International 20th Annual Gala

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Industry Leader Robert J. Moses Appointed to American Portfolios Holdings, Inc. (APH) Board of Directors Advisory Board

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American Portfolios Develops DOL Committee to Address Impending Fiduciary Rule

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American Portfolios Launches 2016 Connections Tour With Additional Meetings and Elements to Benefit Financial Advisors

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American Portfolios Financial Services Hosts 2016 Virtual Enterprises International Business Plan Competition

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American Portfolios Named One of the Best Companies to Work for in New York for 2016

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2015

American Portfolios Makes Substantial Strides in 2015 for Advisory Platform and Technology Independence

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American Portfolios Rolls Out E-Sign Functionality to Enhance Its Web-Based Business Workflow Process

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American Portfolios CEO Lon T. Dolber Elected as Vice Chairman of World T.E.A.M. Sports

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American Portfolios Vice President of Marketing Strategy Kimberly A. Branch Aids in Positioning Company for Growth

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American Portfolios Appoints Industry Leaders Paul Tyler and Atindra Barua to the Advisory Council for Its Board of Directors

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American Portfolios Appoints Industry Leaders Paul Tyler and Atindra Barua to the Advisory Council for Its Board of Directors

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American Portfolios Vice President of Service Quality and Process Excellence Dalchand Laljit Aids in Positioning Company for Growth

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American Portfolios Connections 2015 National Conference an Overwhelming Success

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American Portfolios Financial Services Completes Silent Strength Online WWII Video Series Commemorating 70th Anniversaries of D-Day and V-J Day

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American Portfolios Financial Services, Inc. Named 2015 Broker/Dealer of the Year by Investment Advisor Magazine

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American Portfolios Supports World T.E.A.M. Sports by 2015’s Face of America and Coastal Team Challenge Events

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American Portfolios Financial Services Organizes Interview and Broadcast on News 12 Between World War II Veteran and Japanese Civilian for 70th Anniversary of V-J Day

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American Portfolios’ New Relationship Management Team, Led by Keith J. Kelly, Launches Redtail University for Firm’s Financial Advisors

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American Portfolios Organizes Fundraiser to Aid Earthquake-Stricken Nepal

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American Portfolios Announces Deployment of Its 5-Year Growth Roadmap Charted by EVP and Chief Strategy Officer Edward Morrison

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American Portfolios Hosts 2014-15 Long Island VEI Business Plan Competition

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2014

American portfolios Financial Services, Inc. is Major Sponsor and Participant in CanAm Veterans Challenge

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American Portfolios Financial Services, Inc. Participating in Annual Face of America Bicycle Ride

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American Portfolios CEO Lon T. Dolber Attends Client Appreciation Event for Top Producer Theresa Hannon Honoring 30 Years in Financial Services

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American Portfolios Financial Services Supports Non-Profit Organization Virtual Enterprises International and the Next Generation of Big Thinkers

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American Portfolios CEO Lon T. Dolber Honored at the Thirteenth Annual David Awards

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2013

American Portfolios Selects Global Relay for Compliant Message Archiving and Supervision Solution

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American Portfolios Announces Promotions for Several Staff Members

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American Portfolios Implements Broadridge’s Forefield Suite of Education and Communication Tools for Advisors and Shareholders

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American Portfolios Financial Services Appoints Industry Leader Steven E. Rothstein to the Advisory Council for its Board of Directors

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2012

American Portfolios Earns Distinction as One of America’s Fastest-Growing Private Companies

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American Portfolios CEO Lon T. Dolber Participates in Leg of World Team Sports 2012 Sea to Shining Sea Cross-Country Bike Ride

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American Portfolios is Major Sponsor and Participant in 2012 Sea to Shining Sea Cross-Country Bicycle Ride

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2011

APFS Pays Tribute to September 11, 2011

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American Portfolios Financial Services Rolls Out Social Media Program

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Affiliated Colleage Andrew Friedman Awarded for Involvement with the Sean Kimerling Testicular Cancer Foundation

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Socialware Interviews Lon T. Dolber on Future of Social Media in Financial Services

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American Portfolios Financial Services Invites Seven Influential Keynote Speakers to Connections 2011

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American Portfolios Financial Services Participates in the Second Annual Frost Valley Adventure TEAM Challenge

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Affiliated Colleague Bill Donahue Escorts World War II Veteran to D.C.

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American Portfolios Financial Services Participates in Annual Kidney Walk

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American Portfolios Featured in Wall Street and Technology Magazine for Embracing Cloud Computing

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American Portfolios Financial Services a Driving Force in 2011 Face of America Bike Ride

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Future Business Leaders of America Invites APFS to Speak

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CEO Lon T. Dolber Featured in Investement News for Inspiring Courage and Community Involvement

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American Portfolios Schedules 2011 Assistants Day

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American Portfolios Financial Services Introduces Advisors4Advisors

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Careers

Careers

For those who seek freedom of choice, we're the employer of choice.

Working At American Portfolios

Employees at American Portfolios are dedicated, competent individuals, who provide the highest level of service to the firm’s affiliated financial representatives, located in hundreds of branch offices throughout the country. Every employee plays a critical role in meeting this fundamental and core commitment. As a proud recipient, ranking No. 1 in the 2016 New York State’s Best Companies to work for of small to medium-sized firms and ranking in the Top 5 for 2017, American Portfolios provides a pleasant work environment that encourages collaboration, self-initiating work practices and creative thinking for new ideas and ways of doing business. American Portfolios values and nurtures this relationship; the success of our business depends on it.

Key Benefits

Employees at American Portfolios are dedicated, competent individuals, who provide the highest level of service to the firm’s affiliated financial representatives, located in hundreds of branch offices throughout the country. Every employee plays a critical role in meeting this fundamental and core commitment. As a proud recipient, ranking #1 in the 2016 New York State’s Best Companies to work for of small to medium-sized firms, American Portfolios provides a pleasant work environment that encourages collaboration, self-initiating work practices and creative thinking for new ideas and ways of doing business. American Portfolios values and nurtures this relationship; the success of our business depends on it.

Other Benefits

American Portfolios provides several other amenities to full-time employees through generous programs for paid-time off, education tuition reimbursement, completion of FINRA securities license bonuses, committee participation and the opportunity to earn awards and recognitions throughout the year.

Compliance Associate

Would you like to have an impact on the future growth and profitability of a competitively strong financial services firm?  At American Portfolios, we operate in a team-based environment, made up of diverse associates who are passionate, innovative and focused.  We’re proud of our history, stability and proven track record of success. American Portfolios has made the Inc. 5000 list of fastest-growing, privately-held firms in the U.S. seven years in a row, was awarded the 2015, 2016, 2017 and 2018 Broker/Dealer of the Year by Investment Advisor magazine, and named one of the best companies to work for in 2016, 2017, 2018 and 2019 by the New York State Society for Human Resources Management and the Best Companies Group.

Sound like a company you’d like to join?  American Portfolios (AP) has an immediate need for a compliance associate. In this role, you will be responsible for the surveillance and review of Business Processing Modules (BPMs), including review of Direct Participation Programs (DPPs), Real Estate Investment Trusts (REITs), mutual funds, private placements, and equity index annuities business and their associated documentation. You will also be responsible for reconciling the firm’s licensing and registration exceptions reports with affiliated financial advisors and offices of supervisory jurisdiction (OSJs).


Responsibilities

  • Handle securities licensing and exams
  • Send notices and follow up with affiliated financial advisors regarding regulatory requirements
  • Handle and keep track of state inquiry letters to advisors seeking state licensing, and assist them in answering inquiries completely and correctly
  • Keep track of and communicate regulatory Continuing Education requirements
  • Assist with Firm Element Continuing Education by assigning courses, analyzing and following up with results of questionnaires
  • Process and create a monthly report of the termination of registered and non-registered persons, as well as on the opening and closing of branch offices, and address changes in the Central Registration Depository (CRD)
  • Review, process and follow up on Financial Industry Regulatory Authority (FINRA) license/exam exceptions
  • Deliver electronic Uniform Applications for Securities Industry Registration or Transfer (U4s) to candidates, and assist individuals with completing and processing U4s
  • Process and follow up on the submission of fingerprint cards and other documents to FINRA
  • Assist and follow-up with FINRA regarding disclosures and deficiencies of advisors and branches
  • Review, approve and process documents regarding advisors’ attendance of due diligence meetings
  • Issue 407/3050 letters to advisors who are obtaining outside personal/advisory accounts
  • Assist branch offices in the preparation of inspections
  • Work with other departments, notably new accounts, to add interested party info for clients who are associated persons
  • Assist employees, advisors and assistants with general compliance questions
  • Support the preparation and mailing of branch office certificates, distribution and processing of U4’s, Outside Business Activity (OBA) forms and e-mail surveillance
  • Assist immediate supervisor, chief compliance officer and department with day-to-day compliance issues and needs

Requirements

  • Ability to multi-task and follow up in a timely manner
  • Strong organizational skills
  • Thorough knowledge of Microsoft Work, Excel and PowerPoint, as well as the ability to learn new software programs
  • Excellent verbal and written communication skills
  • Excellent customer service skills
  • A solid understanding of compliance in the financial services industry
  • Ability to work under pressure, and prioritize and multi-task

Education and Experience

  • Bachelor’s degree in a related field
  • Previous FINRA CRD experience a plus

Limitations and Disclaimer

The above job description is meant to describe the general nature and level of work being performed; it is not intended to be construed as an exhaustive list of all responsibilities, duties and skills required for the position. This job description in no way states or implies that these are the only duties to be performed by the employee occupying this position. All job requirements are subject to possible modification to reasonably accommodate individuals with disabilities. American Portfolios provides Equal Employment Opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion, sex, national origin, age, disability or genetics. To perform this job successfully, the employee must possess the abilities or aptitudes to perform each duty proficiently. Continued employment remains on an “at will” basis.


Digital Marketing Associate

Would you like to have an impact on the future growth and profitability of a competitively strong financial services firm? At American Portfolios, we operate in a team-based environment, made up of a diverse group of associates who are passionate, innovative and focused.  We’re proud of our history, stability and proven track record of success. American Portfolios has made the Inc. 5000 list of fastest-growing, privately-held firms in the U.S. for seven years in a row from 2007 to 2014, was awarded Broker/Dealer of the Year* four straight years in a row from 2015 to 2018 by Investment Advisor magazine, and also for four consecutive years was named one of the best companies to work for from 2016 to 2019 by the New York State Society for Human Resources Management and the Best Companies Group.

Sound like a company you’d like to join? American Portfolios (AP) has an immediate need for a digital marketing associate to work in the marketing and corporate communications department. In this role, you will need to demonstrate a competitive drive and desire to surpass established goals, key metrics and standards of performance; quickly develop a rapport with internal departments and external marketing qualified contacts to help achieve the company’s marketing and sales goals, with the knowledge that digital marketing efforts should contribute $2 million of GDC recruited to the firm; establish from the marketing machine—through well-crated and tested content, and follow-up calls with potential marketing qualified prospects possessing high lead scores—50 sales qualified leads; and know how to frame conversations strategically and overcome objections, such as negotiating, persuading, listening and explaining ideas. Additionally, within three months, you must become the consummate ambassador for the firm with an innate understanding of AP’s culture, value proposition, mantra and core values; within six months, become the marketing automation right-hand person for the vice president of marketing strategy; and complete two digital marketer courses within the first year of employment.


Responsibilities

  • Use excellent communications and sales skills to make and/or receive outbound/inbound calls of marketing qualified leads from the marketing automation machine, identifying and establishing quality-level and sales-qualified ready recruiting candidates
  • Assist vice president of marketing strategy with all digital and Internet marketing initiatives
  • Develop a proficiency in the use of various digital marketing tools and channels used by the firm, such as Act-On, Web analytics, search engine optimization, e-mail marketing and assist as backup for Facebook/LinkedIn/Twitter social media platforms to promote AP’s value proposition, products and services
  • Inevitably mange all aspects of automation programs and execution, including list segmentation, e-mail creation, workflow development, quality assurance, scoring models, reporting and performance optimization (includes A/B testing)
  • Execute daily workload using team’s project collaboration system; partner closely with editorial, video and other digital marketing co-workers to build campaign assets
  • Partner with internal data teams as needed to understand and perform the processes needed to ensure data hygiene, quality and integrity; partner with internal data teams to upload data to AP Support, powered by Salesforce, with the eventual goal to take on this task fully
  • Stay current on external benchmarking and other thought leadership forums, proactively documenting and sharing industry best practices with the broader team
  • Ensure compliance to regulatory requirements and controls, such as CAN-SPAM, CASL, etc.
  • Help build and maintain campaign calendars and standardized reports to facilitate collaboration between sales and marketing
  • Produce digital assets utilizing Adobe creative suite and flipping book tools of AP’s communication, marketing and practice management publications, posting to AP’s private and public Web sites, and/or incorporating into digital campaigns through the marketing automation machine

Requirements

  • Ability to communicate articulately, both in written and verbal forms
  • Perceptive and observant in understanding the needs of people
  • Proven project management with ability to complete tasks and responsibilities independently with limited or no supervision at all
  • Highly organized and proactive
  • Ability to multitask and prioritize duties under pressure, and deliver quality results
  • Possess positive attitude, sound judgement and top-level professionalism
  • Possess team spirit and the ability to interact professionally with team members within and outside of the department
  • A hands-on, roll-up-your-sleeves mindset and work style
  • Ability to embrace company-wide internal technology solutions
  • Possess advanced-level Internet proficiency, including use of several social media platforms
  • Proficiency with Web services, CMS system, and basic desktop and cloud-based applications (i.e. Microsoft Office, Adobe Creative Suite WordPress, HTML, Sharepoint and Salesforce)
  • Familiarity with, and/or propensity for, an understanding of digital media/marketing automation tools, such as Eloqua, ActOn, Google Analytics, SEO, SEM, Google ads, Facebook campaigns, LinkedIn and Twitter extended marketing tools

Education and Experience

  • Bachelor’s degree in business, communications, marketing and/or digital marketing
  • Minimum of three years working experience in a business-related and/or marketing field
  • Minimum of two years working with a marketing automation machine; such as Act-On, Eloqua, Marketo or others
  • Proven project management experience from inception to implementation
  • Experience in the following preferred: Salesforce platform, digital marketing, telemarketing and/or sales, financial services sector (more specifically, in the securities industry and/or an RIA firm)

Limitations and Disclaimer

The above job description is meant to describe the general nature and level of work being performed; it is not intended to be construed as an exhaustive list of all responsibilities, duties and skills required for the position. This job description in no way states or implies that these are the only duties to be performed by the employee occupying this position. All job requirements are subject to possible modification to reasonably accommodate individuals with disabilities. American Portfolios provides Equal Employment Opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion, sex, national origin, age, disability or genetics. To perform this job successfully, the employee must possess the abilities or aptitudes to perform each duty proficiently. Continued employment remains on an “at will” basis.-


Advisory Research Analyst

At American Portfolios, we operate in a team-based environment, made up of a diverse group of associates who are passionate, innovative and focused.  We’re proud of our history, stability and proven track record of success. American Portfolios has made the Inc. 5000 list of fastest-growing, privately-held firms in the U.S. for seven years in a row from 2007 to 2014, was awarded Broker/Dealer of the Year* four straight years in a row from 2015 to 2018 by Investment Advisor magazine, and also for four consecutive years was named one of the best companies to work for from 2016 to 2019 by the New York State Society for Human Resources Management and the Best Companies Group.

Sound like a company you’d like to join?  American Portfolios (AP) has an immediate need for a responsible portfolio research analysis, supporting the internal advisory investment management team for Nine Points Investment Management (NPIM). The team currently manages multi-asset allocation, fixed income and equity strategies, overseeing roughly $400 million in AUM. NPIM is also responsible for the due diligence of more than 20 third-party SMA managers and hundreds of mutual funds.  This position performs multi-asset risk modeling and asset allocation analysis; assists in the trade reconciliation process for the investment platform; and contributes in the composite calculation, performance review and performance posting of investment models, among other duties.


Responsibilities

  • Work closely with the portfolio manager and investment committee in the analysis and portfolio management of various investment strategies
  • Perform multi-asset risk modeling and asset allocation analysis
  • Assist in composite calculation, performance review and performance posting of investment models
  • Support the manager of due diligence in on-boarding new investment managers and strategies
  • Assist in the trade reconciliation process for the investment platform
  • Create fact cards for roughly 200 investment strategies

Requirements

  • An interest in and understanding of financial markets
  • Progress or desire to become a Chartered Financial Analyst (CFA) charterholder
  • Solid spoken and written communication skills
  • Ability to eventually articulate investment analysis and macro-economic trends to the investment committee and financial advisors
  • Proficient in Microsoft Excel

Education and Experience

  • Bachelor’s degree in related field
  • Experience with Morningstar Direct and FactSet preferred
  • Investment industry experience preferred

Limitations and Disclaimer

The above job description is meant to describe the general nature and level of work being performed; it is not intended to be construed as an exhaustive list of all responsibilities, duties and skills required for the position. This job description in no way states or implies that these are the only duties to be performed by the employee occupying this position. All job requirements are subject to possible modification to reasonably accommodate individuals with disabilities. American Portfolios provides Equal Employment Opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion, sex, national origin, age, disability or genetics. To perform this job successfully, the employee must possess the abilities or aptitudes to perform each duty proficiently. Continued employment remains on an “at will” basis.


Executive Vice President, Chief Legal Counsel

Would you like to have an impact on the future growth and profitability of a competitively strong financial services firm?  At American Portfolios, we operate in a team-based environment, made up of diverse associates who are passionate, innovative and focused.  We’re proud of our history, stability and proven track record of success. American Portfolios has made the Inc. 5000 list of fastest-growing, privately-held firms in the U.S. seven years in a row, was awarded the 2015, 2016, 2017 and 2018 Broker/Dealer of the Year by Investment Advisor magazine, and named one of the best companies to work for in 2016, 2017, 2018 and 2019 by the New York State Society for Human Resources Management and the Best Companies Group.

Sound like a company you’d like to join?  American Portfolios (AP) is currently interviewing for the position of executive vice president and general counsel for its broker/dealer, American Portfolios Financial Services, Inc., as well as its registered investment advisory firm, American Portfolios Advisors, Inc. In this role, you will be responsible for all legal issues that affect the firm, including contracts, litigation, arbitrations and regulatory requirements. You will also be responsible for the review of structured products and alternative investments, and expanding the product lines of the firm. . Additionally, you will be required to represent the firm at industry organizations, such as FSI, the IAA and the Financial Planning Association.


Responsibilities

  • Monitor ongoing regulatory requirements
  • Provide advice on Financial Industry Regulatory Authority (FINRA), Securities Exchange Commission (SEC), state regulatory agencies, National Futures Association (NFA) and Commodity Futures Trading Commission (CFTC) rules and regulations relating to broker/dealer (B/D) activities
  • Provide legal advice on B/D and RIA agreements for products and services
  • Oversee all legal issues that affect the firm, including contract, litigation, arbitrations and regulatory requirements
  • Manage and coordinate responses to inquiries from regulators
  • Coordinate legal matters with outside counsel as needed
  • Give advice to senior business and trading management on regulatory and business risks
  • Oversee legal department personnel
  • Represent the firm at industry organizations, such as FSI and the Financial Planning Association
  • Negotiate coverage with insurance brokers and carriers for general liability, errors and omissions, cybersecurity, and directors and officers coverage, as well as any other required insurance need
  • Prepare press releases on legal or regulatory matters as required

Requirements

  • Ability to manage a team and delegate tasks as needed
  • Proficient computer and communications skills
  • Ability to follow up on tasks
  • Team player

Education and Experience

  • Bachelor’s degree or higher
  • Law degree
  • Admission to a state bar
  • At least 10 years’ experience required in the securities industry as an attorney
  • Experience working within a corporate business environment a plus

Limitations and Disclaimer

The above job description is meant to describe the general nature and level of work being performed; it is not intended to be construed as an exhaustive list of all responsibilities, duties and skills required for the position. This job description in no way states or implies that these are the only duties to be performed by the employee occupying this position. All job requirements are subject to possible modification to reasonably accommodate individuals with disabilities. American Portfolios provides Equal Employment Opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion, sex, national origin, age, disability or genetics. To perform this job successfully, the employee must possess the abilities or aptitudes to perform each duty proficiently. Continued employment remains on an “at will” basis.


Practice Management Consultant

Would you like to have an impact on the future growth and profitability of a competitively strong financial services firm? At American Portfolios (AP), we operate in a team-based environment, made up of diverse associates who are passionate, innovative and focused.  We’re proud of our history, stability and proven track record of success. American Portfolios has made the Inc. 5000 list of fastest-growing, privately-held firms in the U.S. seven years in a row, was awarded the 2015, 2016 and 2017 Broker/Dealer of the Year by Investment Advisor magazine, and named one of the best companies to work for in 2016, 2017 and 2018 by the New York State Society for Human Resources Management and the Best Companies Group.

Sound like a company you’d like to join? American Portfolios (AP) has an immediate need for a practice management consultant. In this role, the individual will be responsible for developing an internal organization structure to grow AP’s practice management capabilities; this will be done through growing and maintaining a segmentation of investment professionals based on practice management needs; working with investment professionals to develop an actionable plan to scale and grow their practice in the most effective and efficient manner; and leveraging internal systems and resources to achieve practice management plan.


Responsibilities

  • Develop and maintain a segmentation of investment professionals based on practice management needs
  • Work with investment professionals to develop an actionable plan to scale and grow their practice in the most effective and efficient manner; the plan must include a prioritized list of actions and practice management initiatives, such as technology adoption, advisory platform adoption, succession planning, hiring plan, etc.
  • Work closely with other members of the new business development team by identifying sales opportunities and non-routine service/support inquiries
  • Leverage internal systems and resources to achieve practice management plan
  • Travel weekly to visit offices (40 office visits per quarter, and the top 50 advisors at least twice a year)
  • Be a critical conduit to the management team for the voice-of-the-customer concerning technology, product and service ideas
  • Work with investment professionals to launch a NPS (Net Promoter Score) survey, which acts as a measure of a client’s loyalty to the investment professional
  • Stay abreast of industry best practices as it relates to processes and technologies to further practice management initiatives and focuses
  • Develop an internal organization structure to grow AP’s practice management capabilities

Requirements

  • Good planning and analytical skills
  • Deep understanding of the technical and business challenges that investment professionals face, as well as the ability to identify opportunities to scale and grow their practices
  • Ability to measure and build customer loyalty
  • Possess excellent interpersonal skills
  • Have a high energy level and a “can do” approach
  • Ability to communicate with advisors for various customer service needs
  • Excellent organizational and problem-solving skills
  • Knowledge of Microsoft Word, Excel, PowerPoint and Outlook
  • Knowledge of CRMs (i.e.Redtail, Salesforce, etc.), proposal and reporting tools (i.e. Morningstar, Envestnet, Riskalyze, etc.) and financial planning tools (i.e. MoneyGuide Pro, eMoney, etc.) used in the industry
  • A self-starter who has the ability to work independently and in a team environment, at all levels of the firm, as well as anticipate needs
  • Must be able to multi-task and handle multiple projects under tight deadlines
  • Must be able to demonstrate ability to interact with all and different personality traits with tact and professionalism
  • Must be willing to travel up to 80 percent of the work week

Education and Experience

  • Bachelor’s degree in related field
  • Series 7 license
  • Proven track record and demonstrated ability to successfully manage advisor relationships
  • At least three years of financial services industry experience

Limitations and Disclaimer

The above job description is meant to describe the general nature and level of work being performed; it is not intended to be construed as an exhaustive list of all responsibilities, duties and skills required for the position. This job description in no way states or implies that these are the only duties to be performed by the employee occupying this position. All job requirements are subject to possible modification to reasonably accommodate individuals with disabilities. American Portfolios provides Equal Employment Opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion, sex, national origin, age, disability or genetics. To perform this job successfully, the employee must possess the abilities or aptitudes to perform each duty proficiently. Continued employment remains on an “at will” basis.


Finance Billing and Accounting Associate

At American Portfolios, we operate in a team-based environment, made up of a diverse group of associates who are passionate, innovative and focused. We’re proud of our history, stability and proven track record of success. American Portfolios has made the Inc. 5000 list of fastest-growing, privately-held firms in the U.S. for seven years in a row from 2007 to 2014, was awarded Broker/Dealer of the Year* four straight years in a row from 2015 to 2018 by Investment Advisor magazine, and also for four consecutive years was named one of the best companies to work for from 2016 to 2019 by the New York State Society for Human Resources Management and the Best Companies Group.

Sound like a company you’d like to join? American Portfolios (AP) has an immediate need for an entry-level finance billing and accounting associate seeking a career that supports technology innovation and a critical business workflow process: working with numbers; managing data; and being adept with spreadsheet, database and accounting tools to perform an array of day-to-day functions.


Responsibilities

  • Act as stakeholder for set-up and monitoring of all advisory billing matters for Registered Investment Advisor entity (RIA), including processing initial billing, and updates and terminations for Pershing, TD and Schwab advisory accounts
  • Conduct weekly/bi-weekly review of managed investment accounts opened by the firm’s new accounts team for accuracy
  • Review and process all incoming checks for advisory accounts, including management fees, flat fee agreements, etc., and cross check with client agreements when necessary
  • Monitor bank accounts for incoming wires from third-party money managers
  • Input all advisory fees received into the Xtiva commission system for payment to advisors
  • Act as the main contact for assisting customers with the advisory billing process and calculations
  • Maintain all procedures for advisory billing
  • Perform other task associated with the finance department and commission processing

Requirements

  • Ability to handle and expand to a wide variety of duties
  • Communicate effectively in a positive and professional manner
  • Excellent attention to detail with an essential need for accuracy
  • Proficiency in Microsoft Excel is a must

Education and Experience

  • Bachelor’s degree a plus, preferably in finance, math or accounting
  • Previous broker/dealer or financial services work experience preferred
  • Previous experience with bookkeeping and/or accounting a plus

Limitations and Disclaimer

The above job description is meant to describe the general nature and level of work being performed; it is not intended to be construed as an exhaustive list of all responsibilities, duties and skills required for the position. This job description in no way states or implies that these are the only duties to be performed by the employee occupying this position. All job requirements are subject to possible modification to reasonably accommodate individuals with disabilities. American Portfolios provides Equal Employment Opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion, sex, national origin, age, disability or genetics. To perform this job successfully, the employee must possess the abilities or aptitudes to perform each duty proficiently. Continued employment remains on an “at will” basis.


Data Analytics Developer

Would you like to have an impact on the future growth and profitability of a competitively strong financial services firm?  At American Portfolios, we operate in a team-based environment, made up of diverse associates who are passionate, innovative and focused.  We’re proud of our history, stability and proven track record of success. American Portfolios has made the Inc. 5000 list of fastest-growing, privately-held firms in the U.S. seven years in a row, was awarded the 2015, 2016, 2017 and 2018 Broker/Dealer of the Year by Investment Advisor magazine, and named one of the best companies to work for in 2016, 2017, 2018 and 2019 by the New York State Society for Human Resources Management and the Best Companies Group.

Sound like a company you’d like to join?  American Portfolios (AP) has an immediate need for a data analytics developer, which will provide process-focused analytics support to the firm’s operations area.  In this role, the individual will be responsible for analyzing all aspects of the operations experience; designing and developing solutions for machine learning, data analytics and database; providing insight to decision makers upon analyzing technical and general business problems; and expand the technical capabilities within the department.


Responsibilities

  • Provide process-focused analytics support to operations department
  • Develop and design machine learning, data analytics and database solutions
  • Identify and troubleshoot data quality solutions in a timely, cost-effective manner
  • Analyze all aspects of the operations experience, including but not limited to, customer experience, key internal consumers and servicing performance
  • Analyze technical and general business problems and issues, using and managing data from internal and external sources to provide insight to decision-makers
  • Ensure inputs are given for improving the process, which would help in faster and accurate output
  • Work as a team player in delivering quality data to clients
  • Document new and existing processes, and be proactive in queue management
  • Develop skill set in core technologies, and expand technical capabilities within department
  • Value and establish internal and external clients and responds to their needs as they arise
  • Follow established communication guidelines, and seek input from mentors and supervisors, actively applying feedback received in day-to-day work to improve performance
  • Understand the professional development process and become actively involved by setting challenging goals and meeting them through continuous learning
  • Perform other duties and/or special projects, as assigned

Requirements

  • Advanced database—such as SQL, MS SQL and PostgreSQL—development, management and maintenance skills
  • Understanding of machine learning and data science
  • Experience in a data processing environment
  • Strong understanding of application development approaches, such as Scrum, SDLC, etc.
  • Exceptional and positive service attitude and willingness to go the extra mile to deliver exceptional service
  • Commendable team collaboration skills, even in a global virtual team setup
  • Strong oral and written communication skills, in a professional and cordial manner
  • Flexibility in day-to-day work, with ability to work on all tasks
  • High standard of performance for oneself
  • Willingness to learn, gain and improvise towards the skill set areas of projects
  • To share best practices within group
  • Adopt a constructive approach towards issues within the team and share best practices within the group

Education and Experience

  • Bachelor’s degree in computer science, information technology—specialization in data science
  • Experience in broker/dealer data operations
  • Financial industry experience a plus

Limitations and Disclaimer

The above job description is meant to describe the general nature and level of work being performed; it is not intended to be construed as an exhaustive list of all responsibilities, duties and skills required for the position. This job description in no way states or implies that these are the only duties to be performed by the employee occupying this position. All job requirements are subject to possible modification to reasonably accommodate individuals with disabilities. American Portfolios provides Equal Employment Opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion, sex, national origin, age, disability or genetics. To perform this job successfully, the employee must possess the abilities or aptitudes to perform each duty proficiently. Continued employment remains on an “at will” basis.


Client Services/Advisor Support Specialist

Would you like to have an impact on the future growth and profitability of a competitively strong financial services firm?  At American Portfolios, we operate in a team-based environment, made up of a diverse group of associates who are passionate, innovative and focused.  We’re proud of our history, stability and proven track record of success. American Portfolios has made the Inc. 5000 list of fastest-growing, privately-held firms in the U.S. for seven years in a row from 2007 to 2014, was awarded Broker/Dealer of the Year* four straight years in a row from 2015 to 2018 by Investment Advisor magazine, and also for four consecutive years was named one of the best companies to work for from 2016 to 2019 by the New York State Society for Human Resources Management and the Best Companies Group.

Sound like a company you’d like to join?  American Portfolios (AP) has an immediate need for a client services/advisor support specialist within the Advisor Support Center.  In this role, the employee is responsible for maintaining the integrity of the advisor support center, which provides immediate, high-quality customer service to all American Portfolios advisors.


Responsibilities

  • Answer questions from advisors or assistants by phone or electronically
  • Respond promptly to advisor inquiries
  • Obtain and evaluate all relevant information to handle inquiries and complaints
  • Direct requests and unresolved issues to the designated resource through ticketing system
  • Keep records of customer interactions and transactions through ticketing system
  • Record details of inquiries, comments and complaints, as well as details of actions executed
  • Communicate, partner and coordinate with internal departments
  • Follow up on customer interactions
  • Compassionate to advisors’ needs
  • Support and provide superior quality service
  • Assist with miscellaneous projects related to the department

Requirements

  • Knowledge of all APFS policies and procedures, as well as all aspects of proprietary systems
  • Knowledge of basic wealth management operational functions (e.g. transfers, new accounts, money movements)
  • Proficiency in Microsoft Office
  • Excellent communication and written skills
  • Ability to create a strong working relationship with the ASC team, advisors and assistants
  • Strong interaction with clearing firm on routing brokerage account platform questions
  • Must be able to work independently to make decisions regarding resolution of issues
  • Ability to multi-task and handle multiple projects, inquiries and communications with departments on an ongoing basis

Education and Experience

  • Bachelor’s degree
  • One to five years of financial industry experience
  • Call center and customer service experience preferred
  • Industry and products knowledge preferred
  • Experience with Pershing LLC’s NetX360 system and Salesforce CRM preferred

Limitations and Disclaimer

The above job description is meant to describe the general nature and level of work being performed; it is not intended to be construed as an exhaustive list of all responsibilities, duties and skills required for the position. This job description in no way states or implies that these are the only duties to be performed by the employee occupying this position. All job requirements are subject to possible modification to reasonably accommodate individuals with disabilities. American Portfolios provides Equal Employment Opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion, sex, national origin, age, disability or genetics. To perform this job successfully, the employee must possess the abilities or aptitudes to perform each duty proficiently. Continued employment remains on an “at will” basis.