Associate Financial Representative

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

Job summary

LPL Financial is seeking an Associate Financial Representative for the Wealth Advisors Group to help clients with immediate and long-term investment needs over the phone. You will maintain an existing book of clients, provide high-touch service, and collaborate with independent advisors in a team call center setting.

The role offers a base salary plus bonus tied to sales goals, with a comprehensive rewards package including 401K matching, health benefits, and stock options.

Qualifications

• Valid Series 7, 63 and 65 or 66 licenses.
• Bachelor's degree preferred.
• Minimum of 2 years of direct client experience within the financial services industry required.

Responsibilities

• Deliver financial advice and conduct reviews with clients over the phone.
• Handle and execute client transactions and general service requests.
• Prepare client reports and proposals as required.
• Support other departments and independent advisors in understanding the program.
• Participate in training to stay current with policies and procedures.

Skills

Series 7

63/65/66 licenses

Tele-sales

Client service

Inbound & outbound calling

Education

Bachelor's degree

Tools

MS Office

Web-based applications

Job description

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.

Wealth Advisors Group consists of LPL Financial employee advisors who provide investment solutions and holistic financial advice to investors virtually and over the phone. As an advisor on this team, you will help maintain our existing book of clients, examine their immediate and long-term investment needs, and design solutions that best support their pursuit of individual financial goals.

Job Overview

The Associate Financial Representative of the Wealth Advisors Group is part of a team of LPL corporate employee advisors who provide investment solutions to mass affluent investors. The advisor will help individuals examine their immediate and long-term investment needs and help design solutions that best meet their individual financial goals. 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. The position will have a base salary in addition to a bonus and successfully achieving pre-defined sales goals.

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.
• 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 want strong collaborators who can deliver world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement.

Requirements

• Series 7, 63 and 65 or 66

Core Competencies

• Must have excellent telephone service/relationship management skills
• Prior financial trading experience
• Ideal candidate will have prior tele-sales experience
• Must have excellent communication skills, and strong service ethic

Preferences

• Bachelor's degree
• Life and Health
• Minimum of 2 years of direct client experience within the financial services industry
• Proficient in Microsoft Office and web-based applications
• Previous experience as a financial advisor
• Prior LPL trading, financial related Service Call Center experience; or other service-related job experience considered
• Ability to assist customers in call center environment while accessing data via multiple PC lookup applications. Must have excellent PC and data input skills

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. 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 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].

Principals only. EOE.

EAC 5.19.26