Senior Financial Representative

LPL Financial LLC; Melville (NY); On-site; USD 99,000 - 165,000; Full time

Benefits offered by this job

Health benefits

401K matching

Employee stock options

Paid time off

Job summary

LPL Financial LLC is seeking a Senior Financial Representative within the Wealth Advisors Group. You will support mass affluent clients virtually and by phone, managing a large client book while delivering holistic financial planning and investment solutions.

The role emphasizes service excellence, proactive outreach, and cross-department collaboration to enhance the client experience. Ideal candidates have a strong background in financial planning, investment products, and compliance, with

Qualifications

• Bachelor’s degree or equivalent working experience.
• Series 7, 63 and 65 or 66/2+ years of direct client experience in financial services (as stated).

Responsibilities

• Maintain client relationships across a book of 120,000+ accounts with ongoing outreach.
• Maintain and ensure book operational integrity and compliance, delivering on client experience commitments.
• Demonstrate detailed understanding of financial planning processes and educate clients on core concepts.
• Understand and explain investment products and account types to diverse client bases.
• Utilize consultative selling to meet asset and wallet share goals.
• Coordinate interdepartmental collaboration to improve client outcomes and partnerships.
• Assess and mitigate risk and prevent fraud through regular reviews and client conversations.

Skills

Customer service

Communication

Financial planning concepts

Consultative sales

Risk awareness

Education

Bachelor’s degree or equivalent

Job description

Where Ambition Meets InnovationBuild 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:The Senior Financial Representative of the Wealth Advisors Group is a group of corporate employee advisors who provide investment solutions to mass affluent investors virtually and over the phone. The advisor will help maintain our book of 120,000 clients, examine clients immediate and long term investment needs, and help design solutions that best meet their individual financial goals. This is a competitive team based environment that is focused on employee career development, delivering best in class client experience, and holistic financial planning.Responsibilities:Customer Service: Advisors are responsible for all functions of client relationship maintained including providing an exceptional service via incoming service calls, directing client transactions, preparing necessary client reports and forms, responding to client emails and proactive client outreach.Book Maintenance: Representatives will work together to ensure our book of 120,000+ are operationally maintained, compliant, and delivering on our client experience commitments through proactive check ins and outreach.Financial Planning: Advisors should have a detailed understanding of all aspects of the financial planning process. Advisors should be effecting at collecting and analyzing client data, developing and implementing appropriate solutions, as well as reviewing and maintaining those solutions on an ongoing basis. Advisors will need to knowledgably speak to core concepts such as education, tax, estate, insurance and investment allocation on a daily basisInvestment Solutions: Clients on our book possess a very wide range of different investment accounts and strategies. Advisors have the freedom to utilize investment vehicles that are most suitable for clients. Advisors should have a detailed understanding of all account types, investment products, and investment markets in order to field questions from our diverse client base.Consultative Sales: Advisors will be responsible for meeting goals in asset investment, wallet share consolidation, and relationship deepening metrics. Advisors will need to be well versed in the consultative sales process in order to demonstrate the value of LPL as well as position financial plans and investment solutions that are appropriate for the client.Business Partnership: Facilitate communication and coordination between departments to ensure smooth client experience and integration. Proactively engage in interdepartmental collaboration to enhance processes and integrate new partnerships and practices to enhance what our team can deliver for clients.Risk Mitigation: Remain in good standing with various compliance requirements. Assess and mitigate risk through regular book and client analysis. Prevent fraud through security checks and client conversations.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:Bachelor’s degree or equivalent working experienceSeries 7, 63 and 65 or 662+ years of direct client experience within the financial services industryPreferences:Life & Health or CFPMust have excellent telephone service/relationship management skillsPrior financial tele-sales, trading or call center service experiencePrevious experience as financial advisor or delivering advice and guidance to retail clientsStrong understanding of financial planning concepts, investment markets, and account typesMust have excellent communication skills, an avid listener, and strong business writing skillsEntrepreneurial mind set, self-starter and quickly adapt to a fast paced environmentHigh integrity, detail oriented and ability to evaluate and mitigate riskProficient in Microsoft Office and web based applications.Ability to assist customers in call center environment while accessing data via multiple PC lookup applications. Must have excellent PC and data input skills#LI-PAPay Range:99,000.00 - 165,000.00The pay salary range is inclusive of base salary and potential sales incentive compensation based upon the applicable incentive compensation plan for this position. Base salary is determined on several factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Incentive compensation is dependent on achievement of goals set forth in the incentive compensation plan. 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. Your recruiter will be happy to discuss all that LPL has to offer!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.Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please log in or create an account to apply to this position. 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].EAC 5.19.26