Financial Advisor – Client Solutions (Wealth Management)

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

Job summary

At LPL Financial, a Wealth Advisors Group role in Tempe is focused on providing high‑touch investment guidance to mass affluent clients over the phone and via scheduled reviews.

You will conduct client conversations, prepare reports, and collaborate with independent financial advisors to expand the client book while adhering to regulatory requirements. A Bachelor's degree and securities licenses (7 and 63/65 or 66) are required.

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 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 stay current with policies.
• Provide regular feedback to management to improve advisor experience and 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.

Skills

Series 7

Series 63/65 or 66

Client experience

Education

Bachelor's Degree or equivalent working experience

Job description

At LPL Financial, a Wealth Advisors Group role in Tempe is focused on providing high‑touch investment guidance to mass affluent clients over the phone and via scheduled reviews.

You will conduct client conversations, prepare reports, and collaborate with independent financial advisors to expand the client book while adhering to regulatory requirements. A Bachelor's degree and securities licenses (7 and 63/65 or 66) are required.