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New to the Financial Services Industry? 

Are you new to the financial services industry and unsure if you want to start your career as a financial representative or an advisor? Let's discuss some of the benefits of a career in the financial services industry.

Benefits of Becoming a Financial Representative or an Advisor

Making a Difference in Peoples' Lives

Making a Difference in Peoples' Lives

As a financial representative or advisor, you play a big role in peoples’ lives. They look to you for guidance in one of the most important areas in their lives. Which is why we put checks and balances in place to ensure all of our representatives and advisors are putting the client first.

Flexible Career with Opportunity for Growth

Flexible Career with Opportunity for Growth

A career in this industry is very flexible and dependent on what you want it to be. As a Thoroughbred Advisor, you have the opportunity to do this part-time or full time.

Flexible Work Schedule

Flexible Work Schedule

The flexibility offered by this career opportunity allows you to create a work/life balance that meets your needs. You will gain above-average opportunities for flexible hours when working with an independent firm like Thoroughbred Advisors.

Unlimited Earning Potential

Unlimited Earning Potential

There is an unlimited earning potential in working as a financial advisor. Over time your hard work, reputation, and brand awareness can help you earn what you're worth. 

What does it take to become a successful Financial Representative?

Successful financial representatives come from all types of educational backgrounds and experience levels – from recent college graduates to career changers. While a degree in finance or business isn’t necessary, there are a number of traits you must embody to be a successful financial representative:

  • You are dependable, competent, inquisitive, motivated, efficient, active and accurate.
  • You are personable, approachable, generous and caring, with a natural ability to connect and communicate with others and inspire others to be passionate about things you believe in.
  • You have a track record of success in some area of your life, whether you  capped out the earning potential of your current position or were selected as “Teacher of the Year.”
  • The ability to create, build, and maintain strong relationships with clients and to interact with diverse types of personalities is paramount to success as a financial representative. 
  • It may sound like a cliché, but it is crucial to have a background of integrity so that you can establish yourself as someone worthy of your clients’ trust. 
  • Perhaps the most important trait of successful financial representatives is the ability to be tenacious and the willingness to commit the time and energy that it takes to develop skills, grow in this profession, and better serve clients. The industry rewards hardworking, entrepreneurial types. 
  • Successful financial representatives expand their knowledge base for their own intellectual satisfaction as well as to provide their clients with the best service possible. Staying up to date on the markets, and making sure you’re always one step ahead on product development and evolving investment strategies is key.
And one more...the desire to help

Successful entrepreneurs are motivated primarily by their ability to make an impact. Making a difference by helping others is another benefit of this career path, as financial representatives help their clients do the planning needed to achieve their long-term financial goals.

How We Work with New Financial Representatives

Get Licensed

The track to becoming a Financial Representative starts with getting your NYS Life Accident and Health Insurance License. For those serious about starting their career with us, Thoroughbred Advisors can fully cover the associated costs.

Complete Pre-Licensing Certification Course Online and pass a proctored certification Exam at the Thoroughbred Office. Then pass the state level exam in a testing center and apply for NYS LAH License.

We have seen this process be completed in as little as two weeks, and as long as a few months. This time frame depends on how much time you are able to dedicate to learning and understanding the material.

Get Contracted

Work closely with our Director of Selection and Development and our Managing Partner to decide which affiliation option is best for you.

    • Full Time Affiliated Contract


    • Broker Relationship

The contracting process includes typical pre-hire actions like completing an online application, authorizing a background check, and providing previous employment information. In the past, we have seen this process be completed in as little as two weeks, and as long as a month or so. 

While You're Waiting for Your Contract...

Attend Weekly Training

Attend in-office training that we host multiple times per week and get engaged with the team while waiting for your contract to process.

Create Your Marketing Strategy

Meet with our Marketing Coordinator to create your personalized Marketing Approach.

Learn About Your New Firm

Familiarize yourself with websites and products that Thoroughbred offers, through research and training modules.

Get Your Tech Compliant

Ensure that you have technology that meets compliance standards. This usually includes Apple products and PCs with Windows 10 Pro.

Join Our Team!

Our Director of Selection and Development will work with you every step of the way!

Courtney Schingledecker

Chief Operations Officer

Courtney Schingledecker, Chief of Staff at Thoroughbred Advisors and a visionary leader championing excellence in office and staff management. Discover how she's shaping a brighter future, both professionally and personally.
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Brian McCarthy CFP® CRPS®

Managing Director

(646) 704-3044

CFP Board owns the marks CFP® in the U.S.

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Dustin Conte

Financial Representative

(518) 821-7560

Dustin Conte is insurance licensed in the state of NY.
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Gary Scofield

Financial Strategist


1048 State Rt. 9, Suite 2 Queensbury, NY 12804 518-636-6570 The Barn at Center Hill Road 106 Center Hill Rd Manchester Center, VT 05255 802-662-2228

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Jacob Ferraro

Managing Director

(973) 879-6833

Jacob Ferraro is insurance licensed in New York.
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James R. Kerr, CLU, ChFC

Associate General Agent and Financial Adviser

(914) 240-2215

James R. Kerr is a Registered Representative and Investment Advisor Representative of, and securities and investment advisory services are offered solely through Equity Services Inc., Member FINRA/SIPC, 421 Troy-Schenectady Road,...
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Joshua Lochner

Managing Director

(518) 956-0092

Joshua Lochner offers securities in New York.
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Kamil Krzywonos

Financial Representative

(917) 446-6646

Kamil Krzywonos is insurance licensed in New York.
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Lara Smith

Operations Analyst and Service Associate

Robert Butler

Financial Advisor

(518) 429-8319

Robert Butler offers securities in New York.
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Thomas Lynch CFP® ChFC CLU

Managing Director

(518) 608-4608

Thomas Lynch offers securities in CA, CT, MA, NC, NJ, NY, TX, VT, WA.

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Ready to Start Your New Career?

Thank you!