Senior Financial Representative

About the Role

The Senior Financial Representative in the Wealth Advisors Group is a corporate employee advisor who provides investment solutions to mass affluent investors virtually and over the phone. The advisor will help maintain a book of 120,000 clients, assess their immediate and long-term investment needs, and design solutions tailored to individual financial goals. This role operates in a competitive, team-based environment focused on employee career development, delivering a best-in-class client experience, and holistic financial planning.

Responsibilities

• Customer Service: Handle all aspects of client relationships, including providing exceptional service via incoming calls, directing transactions, preparing reports and forms, responding to emails, and conducting proactive outreach.
• Book Maintenance: Collaborate with the team to ensure the book of 120,000+ clients is operationally maintained, compliant, and meets client experience commitments through proactive check-ins and outreach.
• Financial Planning: Demonstrate a detailed understanding of the financial planning process, including collecting and analyzing client data, developing and implementing solutions, and maintaining those solutions over time. Advisors must be knowledgeable about core concepts such as education, tax, estate, insurance, and investment allocation.
• Investment Solutions: Address a wide range of client investment accounts and strategies. Advisors have the flexibility to recommend suitable investment vehicles and must possess a detailed understanding of account types, investment products, and markets to serve a diverse client base.
• Consultative Sales: Meet goals for asset investment, wallet share consolidation, and relationship deepening. Advisors must excel in consultative sales to demonstrate LPL’s value and recommend appropriate financial plans and investment solutions.
• Business Partnership: Facilitate communication and coordination between departments to ensure a smooth client experience and integrate new partnerships and practices to enhance team capabilities.
• Risk Mitigation: Maintain compliance with regulatory requirements, assess and mitigate risk through regular book and client analysis, and prevent fraud through security checks and client conversations.

Requirements

• Bachelor’s degree or equivalent working experience.
• Series 7, 63, and 65 or 66 licenses.
• 2+ years of direct client experience within the financial services industry.

Preferred Qualifications

• Life & Health or CFP certification.
• Excellent telephone service and relationship management skills.
• Prior experience in financial tele-sales, trading, or call center service.
• Previous experience as a financial advisor or delivering advice to retail clients.
• Strong understanding of financial planning concepts, investment markets, and account types.
• Excellent communication skills, active listening, and strong business writing abilities.
• Entrepreneurial mindset, self-starter attitude, and ability to adapt to a fast-paced environment.
• High integrity, attention to detail, and ability to evaluate and mitigate risk.
• Proficient in Microsoft Office and web-based applications.
• Ability to assist customers in a call center environment while navigating multiple PC lookup applications; strong PC and data input skills.

Pay

The pay range for this position is $99,000.00 - $165,000.00, inclusive of base salary and potential sales incentive compensation based on performance goals. Base salary is determined by factors such as relevant skills, experience, education, internal peer salaries, demonstrated performance, and geographic location.

Benefits

LPL offers a competitive Total Rewards package, including:

• 401K matching.
• Health benefits.
• Employee stock options.
• Paid time off.
• Volunteer time off.
• Additional benefits designed to support work-life balance and personal well-being.