Institutional Advice Manager

LPL Financial LLC; Town of Charlotte, Fort Mill (NY, SC); On-site; USD 94,000 - 157,000; Full time

Benefits offered by this job

401K matching

Health benefits

Employee stock options

Paid time off

Volunteer time off

Job summary

LPL Financial is seeking an Institutional Segment Advice Manager to lead a team of licensed financial advisors serving bank and credit union clients. You will develop talent, deepen client relationships, and drive sales performance in a phone-based advice model.

You will collaborate with institutional leaders to deliver holistic financial guidance, monitor metrics, and oversee workforce resources to optimize program outcomes.

Qualifications

• 3+ years in financial services or wealth management.
• Active FINRA Series 7 and 66 licenses.
• Ability to obtain FINRA Series 9/10 within 6 months of hire.
• 1+ year leading, coaching, or mentoring in a sales/advisory role.
• Strong collaboration with senior stakeholders and partners.

Responsibilities

• Lead and develop a team of licensed financial advisors through coaching and career planning.
• Drive sales performance via training, coaching, and a results-oriented culture.
• Partner with bank and credit union leadership to support investment program success.
• Monitor advisor productivity, report on sales trends, and manage partner relationships.
• Oversee staffing, time-off, and SLA adherence to ensure client outcomes.
• Conduct quarterly business reviews with institutional partners and act on feedback.
• Identify opportunities to improve advisor productivity and client acquisition.

Skills

FINRA Series 7

FINRA Series 66

Series 9/10 readiness

Leadership coaching

Data-driven sales analytics

Strategic thinking

Communication

Job description

Lead with Purpose, Unlock Your Team’s Passion At LPL, people leaders hold the key to the employee experience — shaping culture, driving performance, and guiding individuals to new heights. Because when that happens, we all win– clients, LPL, and most importantly our, employees. If you're ready to lead with intention and discover what’s possible, LPL Financial invites you.

Are you a dynamic leader passionate about coaching financial advisors and driving exceptional client outcomes? In this role, you will lead a team of licensed financial advisors supporting investors within our bank and credit union segment. You’ll play a critical role in developing talent, strengthening client relationships, and driving sales performance—all while partnering closely with institutional leaders to deliver best‑in‑class investment solutions.

Job Overview

The Institutional Segment Advice Manager leads the day-to-day operations of a team of licensed financial advisors within the LPL Wealth Advisors Group. This role focuses on advisor development, sales performance, and client experience within a phone-based advice model. The manager partners with bank and credit union executives, drives operational excellence, and ensures advisors are equipped to deepen relationships and deliver holistic financial guidance.

Responsibilities

• Lead and develop a team of financial advisors through ongoing coaching, one-on-one meetings, and career development planning
• Drive sales performance by delivering training, coaching sessions, and fostering a positive, results-oriented team culture
• Partner with bank and credit union leadership to strengthen relationships and support investment program success
• Monitor advisor productivity, track performance metrics, and report on sales trends and business outcomes
• Oversee workforce management, including staffing levels, time‑off approvals, and SLA adherence
• Ensure delivery of high-quality client experiences by supporting advisors in resolving issues and strengthening investor relationships
• Conduct quarterly business reviews with institutional partners and implement feedback to improve program performance
• Identify opportunities to improve advisor productivity, client acquisition, and overall program effectiveness

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

• 3+ years of experience in financial services, financial advising, or wealth management
• Active FINRA Series 7 and 66 licenses
• Ability to obtain FINRA Series 9/10 within 6 months of hire
• 1+ year of experience leading, coaching, or mentoring professionals in a sales or advisory environment
• Core Competencies
• Ability to influence senior-level stakeholders and build strong institutional partnerships
• Critical thinking and strategic decision-making skills
• Strong communication and interpersonal effectiveness
• Data‑driven approach to sales performance and business insights
• Commitment to coaching, development, and continuous improvement

Preferences

• Experience working with bank or credit union investment programs
• Prior experience managing licensed financial advisors
• Experience in a phone-based or centralized advice model
• Familiarity with fee-based advisory platforms, financial planning tools, and insurance solutions
• Experience driving client acquisition and advisor productivity initiatives

Pay Range: $94,039.00 - $156,663.00. Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. 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.

Benefits

• 401K matching
• Health benefits
• Employee stock options
• Paid time off
• Volunteer time off

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].

EOE.

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