Registered Client Service Associate - Newport Beach, CA

LPL Financial; Newport Beach (CA); On-site; USD 39,000 - 65,000; Full time

Job summary

LPL Financial in Newport Beach, CA, seeks a Registered Client Service Associate to provide administrative and operational support within a wealth management practice. You will help enhance the client experience, manage accounts, and ensure compliance while coordinating with advisors and clients.

Ideal candidates have Series 7 or 66, 3+ years in client-facing roles, and the ability to thrive in a fast-paced, in-office environment Monday–Friday.

Qualifications

• Active Series 7 or Series 66 (Series 63/65 combination acceptable).
• 3+ years of experience in a client-facing role supporting wealth management advisors.
• In-office role, Monday–Friday.

Responsibilities

• Serve as the primary point of contact for clients, responding to inquiries, resolving issues, and educating clients on account services and online capabilities
• Support onboarding of new clients by collecting required documentation and facilitating accurate, compliant account setup
• Prepare and process account opening, maintenance, and transfer documentation, ensuring adherence to firm policies and regulatory requirements
• Monitor and manage client account activity, including contributions, distributions, trading support, and performance reporting
• Maintain accurate, organized, and up‑to‑date client records within the firm’s CRM and document management systems
• Coordinate with custodians, service providers, and internal teams to fulfill client requests and resolve operational issues
• Assist financial advisors with administrative and operational support, reporting, client communications, and initiatives to enhance client engagement and operational efficiency

Skills

Client service

Financial products

CRM software

Microsoft Office

Education

Bachelor's degree in finance, business or accounting

Tools

CRM software

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

As a Registered Client Service Associate, you will provide comprehensive administrative and operational support within the financial advisor’s practice. This role is pivotal in enhancing the client experience, ensuring seamless account management, and upholding compliance standards. The ideal candidate is dedicated and detailed-oriented. Possess strong organizational skills, exceptional communication abilities, and a commitment to delivering outstanding client service.

Responsibilities

• Serve as the primary point of contact for clients, responding to inquiries, resolving issues, and educating clients on account services and online capabilities
• Support onboarding of new clients by collecting required documentation and facilitating accurate, compliant account setup
• Prepare and process account opening, maintenance, and transfer documentation, ensuring adherence to firm policies and regulatory requirements
• Monitor and manage client account activity, including contributions, distributions, trading support, and performance reporting
• Maintain accurate, organized, and up‑to‑date client records within the firm’s CRM and document management systems
• Coordinate with custodians, service providers, and internal teams to fulfill client requests and resolve operational issues
• Assist financial advisors with administrative and operational support, reporting, client communications, and initiatives to enhance client engagement and operational efficiency

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

• Active Series 7 or Series 66 (Series 63/65 combination acceptable)
• 3+ years of experience in a client-facing role supporting wealth management advisors, with the ability to remain composed under pressure, work effectively with diverse personalities, and thrive in fast‑paced, high‑volume environments while maintaining strong attention to detail
• In-office role, Monday–Friday

Core Competencies

• Robust understanding of financial products and services.
• Ability to execute trades and discuss investment recommendations within compliance limits.
• Excellent communication and interpersonal skills.
• Strong organizational skills and attention to detail.
• Proficient in Microsoft Office and financial CRM software.
• Strong problem‑solving skills.
• Ability to work independently and collaboratively in a fast‑paced environment.
• High level of professionalism, discretion, an ethical conduct.

Preferences

• Bachelor’s degree in finance, business or accounting.
• Minimum 3 years in financial services, preferably in a client support role.

Pay Range

$28.47-$47.44/hour

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, 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. Simply put, we take care of our advisors and institutions, so they can take care of their clients.

Principals only. EOE.

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].