Associate Financial Advisor II

LPL Financial LLC; Los Angeles (CA); On-site; USD 82,200 - 137,000; Full time

Job summary

LPL Financial LLC in Los Angeles seeks an Associate Financial Advisor to work with an established advisor and build a practice delivering financial advice, planning and investment management. You’ll grow client relationships while following compliance and industry standards.

Required: a bachelor’s degree or equivalent, FINRA Series 7 and 66 licenses (or ability to obtain within 120 days). Strong communication, organization, and proficiency with MS Office and CRM tools are essential.

Qualifications

• Bachelor’s degree or equivalent working experience.
• FINRA Series 7 and Series 66 licenses (or Series 63 and 65) or ability to obtain within 120 days of hire.
• Strong communication, interpersonal skills, and organization are essential.

Responsibilities

• Help clients grow and protect their assets to meet financial goals.
• Assist in portfolio trading and investment planning.
• Prepare client communications, forms, and documents for accounts.
• Adhere to Compliance and Legal requirements.
• Schedule meetings and assist with client prospecting and marketing.

Skills

Communication skills

Financial planning

CRM software

MS Office

Education

Bachelor’s degree or equivalent working experience

Tools

FINRA Series 7/66 licenses

Job description

Job Overview

Where Ambition Meets Innovation Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you’ll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals. Job Overview: As an Associate Financial Advisor, you’ll work alongside a successful LPL Advisor to continue to build your business and become a Financial Advisor with the ability to deliver advice, planning, and investment management support. You’ll have access to a network of knowledgeable industry professionals, mentors, and resources to help ensure you reach your full potential as you move into the role of a Financial Advisor.

Responsibilities

• In this role, your primary responsibility is to help clients grow and protect their assets to achieve their financial goals including, but not limited to: Assist in portfolio trading Funding for a secure retirement Funding for a child’s or grandchild’s education Build referral pipelines and develop strong partnerships to help develop and grow client relationships Analyze financial data received from clients and assist with the development of investment strategies to meet their goals Initiate financial plans for clients based on their goals, time horizon, risk appetite, etc. Prepare and review client communications as well as forms and documents needed for customer accounts Adhere to all Compliance and Legal requirements Schedule appointments and prepare for meetings, answer routine client questions Attend sales meetings and assist with client prospecting and marketing Attend coaching sessions and training events to improve sales skills and industry knowledge Lead efforts to understand and then utilize new tools and resources to improve team productivity (e.g., new technology, platform enhancements)

Qualifications and Requirements

• Bachelor’s degree or equivalent working experience


• FINRA Series 7 and Series 66 (or Series 63 and 65) licenses (or ability to obtain within 120 days of hire)

Core Competencies

• Strong understanding of financial planning principles, investment products, and retirement solutions.


• Excellent communication (written and verbal) and interpersonal skills.


• Highly organized with strong attention to detail and ability to manage multiple priorities.


• Proficiency in Microsoft Office Suite (Word, Excel, PowerPoint) and CRM software.


• Demonstrated ability to work independently and collaboratively in a fast-paced environment.


• Client-centric mindset with a commitment to delivering outstanding service.

Preferences

• Working knowledge of eMoney or similar planning software


• Life, Accident & Health insurance licenses preferred


• CFP preferred but not required

Compensation

Pay Range: 82,200.00 - 137,000.00

The pay salary range is inclusive of base salary and potential sales incentive compensation based upon the applicable incentive compensation plan for this position. Base salary is determined on several factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Incentive compensation is dependent on achievement of goals set forth in the incentive compensation plan. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more.

Company Overview

LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace(6) , LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses. For further information about LPL, please visit www.lpl.com. At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients. For further information about LPL, please visit www.lpl.com.

Application and Interview Information

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.

Information on Interviews: LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card. Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at [phone]. EAC 5.19.26

LPL Financial is the nation’s largest independent broker-dealer.* Our company is widely known for its financial strength, exceptional service, and favorable industry reputation among financial professionals. To understand who we are, it’s important to know our core belief: financial guidance is a fundamental need for everyone. LPL Financial creates the space to let you do what you do best – create personal, long-term client relationships that turn financial aspirations into realities. Each year, thousands of financial professionals successfully manage billions of dollars in assets. Because our company is not too big and not too small, you can seize the opportunity to make a real impact. To learn more about our organization visit our About LPL page. * As reported by Financial Planning magazine, June 1996-2019, based on total revenue. Want to learn more about the benefits of working at LPL? Check out the links below! We Are LPL Benefits Culture Social Responsibility