Associate Financial Representative

lplfinancial; Fort Mill, Charlotte (SC, NC); On-site; USD 68,000 - 113,000; Full time

Job summary

LPL Financial in Fort Mill, SC, is seeking Wealth Advisors Group professionals to provide high‑touch financial guidance over the phone to mass affluent clients. You will design solutions aligned with clients’ goals in a team-based call center setting.

The role requires Series 7 and Series 63/65 or 66 licenses, plus 1+ year of client experience in financial services. A strong service mindset and collaborative attitude are essential for success.

Qualifications

• Bachelor's Degree or equivalent working experience.
• Series 7 license is required.
• Series 63/65 or 66 license required or equivalent.

Responsibilities

• Deliver financial advice and conduct reviews with clients over the phone via inbound and outbound calling activities.
• Handle and execute client transactions and general customer service requests.
• Prepare client reports and proposals as required.
• Support other departments and independent financial advisors in their understanding of the program.
• Participate in customer service training to stay current with policies and procedures.
• Provide feedback to Management to improve advisor experience and operational efficiencies.
• Communicate policies and procedures to clients and advisors.
• Identify new sales and asset retention opportunities.
• Exercise good business judgment and resolve advisor/client issues.

Skills

Relationship management

Client service

Team collaboration

Excellent communication

Education

Bachelor's Degree or equivalent

Series 7

Series 63 and 65 or 66 License

Tools

Microsoft Office

Web-based applications

Job description

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

Wealth Advisors Group (WealthAG) 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. 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 transaction and general customer service requests.
• Prepare client reports and proposals as required
• Support other departments and independent financial advisors in their understanding of the program
• Actively participate in customer service training and other training to remain current with operational policies and procedures
• Provide regular feedback to the Management team to improve both the advisor experience and operational efficiencies
• Communicate operational and financial industry policies and procedures.
• Identify new sales and asset retention opportunities
• Regularly exercise excellent business judgment
• Research and resolve 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

• Bachelor's Degree or equivalent working experience
• Series 7
• Series 63 and 65, or 66 License
• 1 years + of direct client experience within the financial services industry

Preferences

• Life and Health
• Excellent telephone service/relationship management skills
• Proficient in Microsoft Office and web based applications
• Ability to assist customers in call center environment while accessing data via multiple PC lookup applications. Must have excellent PC and data input skills
• Prior financial trading experience
• Ideal candidate will have prior tele-sales experience
• Must have excellent communication skills, and strong service ethic
• Previous Experience as a financial advisor
• Prior LPL trading, financial related Service Call Center experience; or other service related job experience considered

Pay Range

67,500.00 - 112,500.00The 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. Your recruiter will be happy to discuss all that LPL has to offer!

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.

Information on Interviews

LPL will only communicate with a job applicant directly from [e-mail] 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(855) 575-6947.

EAC 5.19.26