Associate Financial Representative

lplfinancial; Tempe (AZ); On-site; USD 68,000 - 113,000; Full time

Benefits offered by this job

401K matching

Health benefits

Employee stock options

Paid time off

Job summary

LPL Financial, a leading wealth management firm, is seeking a Wealth Advisor for its Wealth Advisors Group in Tempe, AZ. You will deliver investment guidance to mass affluent clients by phone and through inbound/outbound calls, design solutions, and grow your book.

The role emphasizes teamwork in a call center environment, client-service excellence, and ongoing training. Required: Series 7, Series 63/65 or 66, a bachelor's or equivalent experience, and at least one year of direct client service

Qualifications

• Bachelor's Degree or equivalent working experience.
• Series 7 license.
• Series 63 and 65, or 66 license.
• 1+ years of direct client experience in financial services.

Responsibilities

• Deliver financial advice and client reviews over the phone via inbound and outbound calls.
• Handle and execute client transactions and general service requests.
• Prepare client reports and proposals as required.
• Support other departments and independent advisors in the program.
• Participate in customer service training to stay current with policies and procedures.
• Provide feedback to management to improve advisor experience and efficiency.
• Communicate policies and procedures, and identify new sales opportunities.
• Research and resolve advisor and client issues.

Skills

Client service mindset

Excellent communication

Phone-based advisory

Team collaboration

Relationship management

Microsoft Office proficiency

Call center experience

Financial services knowledge

Education

Bachelor's degree or equivalent

Series 7 license

Series 63/65 or 66

Tools

PC lookup applications

Microsoft Office

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 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 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 - 112,500.00

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.

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

For further information about LPL, please visit www.lpl.com.