Associate Financial Representative

LPL Financial; Austin (TX); On-site; USD 71,000 - 118,000; Full time

Job summary

LPL Financial is seeking a licensed Wealth Advisor Group specialist to deliver financial guidance to mass affluent clients over the phone and via inbound/outbound calls. The role emphasizes high-touch service in a collaborative call-center setting, with the goal of growing client relationships and book of business.

The ideal candidate will hold FINRA Series 7 and Series 63/65 or 66 (or obtain within 90 days), with at least 2 years of direct client experience in financial services, and strong

Qualifications

• FINRA Series 7 required.
• Series 63/65 or 66 licenses, or the ability to obtain within 90 days of hire.
• 2 years’ experience with direct client experience within the financial services industry.
• Excellent telephone service/relationship management skills.
• Prior financial trading and tele-sales experience.
• Proficient in Microsoft Office and web-based applications.
• Ability to assist customers in call center environment while accessing data via multiple PC lookup applications.

Responsibilities

• Delivering financial advice and conducting reviews with clients over the phone via inbound and outbound calling activities
• Handling and executing client transactions and general customer service requests
• Preparing client reports and proposals as required
• Supporting other departments and independent financial advisors in their understanding of the program
• Actively participating in customer service training and other training to remain current with operational policies and procedures
• Providing regular feedback to the management team to improve both the advisor experience and operational efficiencies
• Communicating operational and financial industry policies and procedures
• Identifying new sales and asset retention opportunities
• Regularly exercising excellent business judgment
• Researching and resolving advisor and client issues

Skills

Excellent telephone service

Communication skills

Client service

Team collaboration

Education

Bachelor's degree

Tools

Microsoft Office

Web-based applications

Job description

What if you could

What if you could build a career where ambition meets innovation? At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence. What if you could have access to cutting-edge resources, a collaborative environment, and the freedom to make an impact? If you’re ready to take the next step, discover what’s possible with LPL Financial.

Job Overview:

Wealth Advisors Group (Wealth AG) is a group of corporate employee advisors who provide investment solutions to mass affluent investors virtually and over the phone. The advisor will examine clients’ immediate and long-term investment needs, help design solutions that best meet their individual financial goals and help grow our book of 120,000 clients.

This is a team-based call center environment that delivers investment advice and guidance over the phone. The ideal candidate will be success driven with a client service attitude and the ability to deliver high touch, professional service.

Responsibilities:

• Delivering financial advice and conducting reviews with clients over the phone via inbound and outbound calling activities
• Handling and executing client transactions and general customer service requests
• Preparing client reports and proposals as required
• Supporting other departments and independent financial advisors in their understanding of the program
• Actively participating in customer service training and other training to remain current with operational policies and procedures
• Providing regular feedback to the management team to improve both the advisor experience and operational efficiencies
• Communicating operational and financial industry policies and procedures
• Identifying new sales and asset retention opportunities
• Regularly exercising excellent business judgment
• Researching and resolving advisor and client issues

What are we looking for?

We’re looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness , act with integrity , and are driven to help our clients succeed . We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.

Requirements:

• FINRA Series 7 required
• Series 63/65 or 66 licenses, or the ability to obtain within 90 days of hire
• 2 years’ experience with direct client experience within the financial services industry
• Excellent telephone service/relationship management skills
• Prior financial trading and tele-sales experienceExcellent communication skills and strong service ethics
• Proficient in Microsoft Office and web-based applications
• Ability to assist customers in call center environment while accessing data via multiple PC lookup applications

Preferences:

• Bachelor’s degree
• Previous experience as a financial advisor
• Prior LPL trading experience
• Financial service call center experience; or other service-related job experience
• Life and Health

Pay Range:

$70,900.00-$118,200.00/year 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. LPL supports over 29,000 financial advisors and the wealth-management practices of 1,100 financial institution, servicing and custodying approximately $1.9 trillion in brokerage and advisory assets on behalf of approximately 7 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.

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.

Join LPL Financial: Where Your Potential Meets Opportunity

At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation’s leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services.

Why LPL?

• Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here!
• Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here!
• Unified Mission: We are one team on one mission-taking care of our advisors so they can take care of their clients. Learn more about our mission and values here!
• Impactful Work: Our size is just right for you to make a real impact. Learn more here!
• Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here!
• Community Focus: We care for our communities and encourage our employees to do the same. Learn more here!
• Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here!

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. 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].

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