Senior Financial Representative

LPL Financial LLC; Houston (TX); On-site; USD 90,000 - 150,000; Full time

Job summary

LPL Financial LLC in Houston, Texas, is seeking a Senior Financial Representative to provide investment solutions to mass affluent investors via phone and virtual platforms. The role involves maintaining a client book of approximately 120,000 accounts and focuses on ensuring compliance while providing exceptional service.

The ideal candidate will have a Bachelor's degree, Series 7, 63, and 65 (or 66), and strong financial planning knowledge. Compensation ranges from $90,000 to $150,000 based on performance.

Qualifications

• 2+ years of direct client experience in financial services.
• Strong knowledge of investment markets and account types.
• Ability to conduct comprehensive financial planning.

Responsibilities

• Provide exceptional client service through various channels.
• Maintain and update a large client book for compliance.
• Develop tailored financial solutions for clients.

Skills

Client service skills

Financial planning knowledge

Relationship management

Effective communication

Detail oriented

Education

Bachelor's degree or equivalent experience

Series 7, 63 and 65 (or 66)

Tools

Microsoft Office

Multi-application data entry

Job description

Job Overview

Senior Financial Representative in the Wealth Advisors Group provides investment solutions to mass affluent investors via phone and virtual platforms. Maintains a book of roughly 120,000 clients, assessing immediate and long‑term investment needs and designing solutions that meet financial goals. The role supports a competitive, team‑based environment focused on client experience, holistic financial planning, and employee career development.

Responsibilities

• Provide exceptional client service through calls, emails, and proactive outreach, including handling client transactions, preparing reports and documentation.
• Maintain and update the client book of 120,000+ accounts to ensure compliance and operational excellence.
• Conduct comprehensive financial planning: gather and analyze client data, develop tailored solutions, and monitor ongoing performance across education, tax, estate, insurance, and investment allocation.
• Advise on a wide range of investment accounts and markets, fielding client questions and recommending suitable vehicles.
• Achieve consultative sales goals (asset investment, wallet‑share consolidation, relationship deepening) by positioning LPL’s value proposition and appropriate financial plans.
• Collaborate across departments to deliver seamless client experiences and implement new partnerships and practices.
• Manage risk and compliance, performing regular book reviews, fraud prevention checks, and maintaining good standing with regulatory requirements.

Requirements

• Bachelor’s degree or equivalent experience.
• Series 7, 63 and 65 (or 66). 2+ years of direct client experience in financial services.
• Excellent telephone service and relationship‑management skills.
• Strong financial‑planning knowledge, investment markets, and account types.
• Effective written and verbal communication, active listening, and business‑writing abilities.
• High integrity, detail oriented, risk‑mitigation mindset, and entrepreneurial self‑starter.
• Proficiency with Microsoft Office, web‑based applications, and multi‑application data entry.

Preferred

• Life & Health or CFP designation.
• Previous role as financial advisor or in financial tele‑sales, trading, or call‑center service.

Pay Range

$90,000.00 – $150,000.00 (inclusive of base salary and potential incentive compensation). Additional compensation depends on achievement of incentive plan goals.

EEO Statement

The Company is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, age, disability, or any other protected status.