LPL Sr. Financial Advisor

CoastHills Credit Union; Santa Maria (CA); On-site; USD 90,000 - 140,000; Full time

Job summary

CoastHills Credit Union in Santa Maria, CA is seeking a Senior Financial Advisor to solicit, sell and service securities and insurance products to members and clients. You will generate leads, tailor solutions to client needs, and build current and potential client relationships.

The role requires five or more years of experience selling financial products, along with FINRA Series 7/66 and California Life & Health licenses; occasional after-hours meetings may be required.

Qualifications

• Bachelor’s degree or equivalent combination of education and experience required.
• Five or more years selling financial products preferred.

Responsibilities

• Solicit, sell and service securities and insurance products to CoastHills members and clients.
• Generate leads and develop current and potential client relationships.
• Meet with clients during non-business hours as needed.
• Gather and analyze data to tailor financial solutions.
• Respond to client inquiries and complete forms and documents.
• Schedule client appointments and follow-ups.
• Represent the Credit Union professionally at meetings and events.

Skills

Client relationship management

Sales experience

Regulatory knowledge

Education

Bachelor’s degree in Business Administration, Management, Finance, Marketing or related field

Equivalent combination of education and experience

Tools

MS Office

Other systems and software

Job description

Summary

The LPL Sr. Financial Advisor is responsible for soliciting, selling and servicing securities and insurance products to CoastHills members and clients. Generates leads, recommends the right solutions to serve clients’ financial needs, and develops current and potential client relationships.

Essential Functions

Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. The following statements are intended to describe the general nature and level of work being performed by this position. It is not intended to be an exhaustive list of all duties, responsibilities, and skills required of this position. Other duties may be assigned to meet business needs.

• Provides information to new and existing members regarding various LPL products, services and investment opportunities.
• Provides information to prospective and existing clients regarding insurance and securities products.
• Meets with clients during non-business hours at the Chief Wealth Officer’s discretion.
• Gathers and analyzes data by applying technical and professional expertise.
• Responds to clients’ inquiries and requests; assists in completing forms and documents.
• Resolves errors and client concerns in a timely manner.
• Schedules client appointments and sends reminders and follow-ups.
• Actively participates in Wealth Management Department functions.
• Represents the Credit Union in a professional manner at social and business functions.
• Regularly attends and participates in in-house training.
• Performs duties as assigned by management and may be assigned to work at any branch.

Supervisory Functions

None.

Qualifications

Education and Experience

• Bachelor’s degree in Business Administration, Management, Finance, Marketing or related field desired, or equivalent combination of education and experience. Five or more years selling financial products preferred.
• Strong Knowledge of state and federal laws and regulations pertaining to securities and insurance products.

Certificates, Licenses and Registrations

• FINRA Series 7 General Securities Registered Representative Examination.
• FINRA Series 66 Uniform Combined State Law Examination.
• California Life and Health Insurance Agent Examination.

Other Skills and Abilities

• Travels, attends, and participates in meetings, seminars, and conferences held before and after normal business hours that may require unaccompanied long-distance travel and overnight lodging.
• Ability to work a variety of hours, including evenings and weekends.
• MS Office and other systems and software needed to effectively perform job.

Affirmative Action / EEO Statement

CoastHills is an Equal Opportunity/Affirmative Action employer. We will consider all qualified applicants for employment without regard to race, color, religion, ancestry, gender, pregnancy, sex, sexual orientation, transitioning status, gender identity, gender expression, national origin, age, genetic information, military and veteran status, marital status, medical condition, mental disability, physical disability, or any other basis protected by local, state, or federal law.