External Wholesaler - Midwest Regional

Dunham & Associates Investment Counsel, Inc. Henly, TX 2019-06-29

Bring your drive and great attitude to Dunham, and you will have the opportunity to grow with us professionally, personally, and financially as a Regional Director. Join us to differentiate yourself from all the other wholesalers in your region by offering fee structures, investments, services, and marketing programs few wholesalers have in their bag.

We are seeking a seasoned wholesaler for the Dunham's Midwest Region, which includes Michigan, Ohio, Indiana, Illinois, Iowa, Wisconsin, and Minnesota. This professional should have strong financial advisor relationships in the independent channel offering them innovative asset management investments, fee structures, trust services, and practice management tools.

Dunham is an established 34 year-old firm providing our professional Regional Directors a base salary, commissions, and trail commissions on AUM in your regions so your compensation can growth as assets grow. This is all in addition to travel and expense reimbursements and full employee benefits.


Using discretion, judgment, and the highest level of ethical standards, you will be responsible for driving sales of Dunham mutual funds, advisory fee platform, and Dunham Trust Company services throughout the Central Region. You will play an instrumental role in building Dunham's brand awareness and market dominance. Based in the Midwest Region, you will need to live in the region and will be supported by a Regional Marketing Associate based out of San Diego.

These are the essential responsibilities:

  • Develop key relationships with Financial Advisors to create new business, provide sales and marketing information, and keep them up-to-date on our investments and services;
  • Schedule regular travel and appointments within the region, including dinners, seminars, and meetings to build and maintain crucial relationships;
  • Offer follow-up information, conduct timely thank you calls, prepare portfolio reviews and proposals, and provide marketing material required to complete sales;
  • Provide problem resolution in a professional and timely manner;
  • Build market dominance through the development of a professional relationship with our broker/dealer firms;
  • Work with assigned Regional Marketing Associate to identify, qualify, and market all of the Dunham investments and services to Financial Advisors;
  • Conduct seminars and other client events to assist in the marketing support to your financial advisors;
  • Maintain all communication and activities in our SalesForce database;
  • Remain up-to-date on all aspects of our industry, investments, and services in your marketplace


  • Bachelor's degree;
  • FINRA Series 6 or 7 AND Series 65 or 66 licenses;
  • Minimum of 5 years proven experience as a wholesaler;
  • Ability to build and maintain exceptional relationships with Financial Advisors;
  • Proven communication and public speaking skills;
  • Strong interpersonal, organizational, sales, and sales/training skills;
  • Positive, team-oriented personality;
  • Proficient in MS Office;
  • Familiar with mutual fund and advisory fees sales, with a knowledge of trust services being a big plus;
  • Experience with SalesForce strongly preferred.

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