Associate Financial Advisor II

LPL Financial Holdings, Inc. • $82K — $137K *
Torrance, CA 90503In-Person
Finance & Insurance
5 - 7 years of experience
2 days ago
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Job Overview by Ladders

Qualifications

  • FINRA Series 7 and Series 66 (or Series 63 and 65) licenses required.
  • 5+ years of experience in the financial services industry, preferably in a client-facing or support role.
  • Bachelor's degree is necessary.

Responsibilities

  • Assist senior financial advisors in creating and executing financial plans and investment strategies.
  • Engage with prospective clients to assess their financial goals and build relationships.
  • Conduct regular reviews of client portfolios, discussing performance and necessary adjustments.
  • Maintain accurate client records in CRM systems.
  • Respond to client inquiries with excellent service, directing complex issues to senior advisors when needed.
  • Stay updated on market trends and industry regulations.
  • Collaborate with internal teams for effective client service delivery.

Benefits

  • 401K matching
  • Health benefits
  • Employee stock options
  • Paid time off
  • Volunteer time off
Full Job Description

Job Overview:
The Associate Financial Advisor will support senior financial advisors in providing comprehensive financial planning and investment management services to clients, contributing to the growth and retention of the practice.

Responsibilities:

  • Assist senior financial advisors in developing and implementing and delivering financial plans and investment strategies to clients.

  • Meet with prospective clients in to understand their financial goals and assess needs in an effort to establish rapport.

  • Conduct regular performance reviews of client portfolios, discussing performance, rebalancing needs, and market conditions.

  • Maintain accurate and up-to-date client records within the CRM system.

  • Respond to client inquiries and provide exceptional service, escalating complex issues to senior advisors when necessary.

  • Stay informed on market trends, financial products, and industry regulations.

  • Collaborate with internal teams to ensure seamless client service delivery.

  • Assist in business development activities, including prospecting, marketing, and client seminar preparation.

  • Participate in client educational events, workshops and client appreciation events.

  • Take active lead of marketing efforts by partnering with LPL marketing team.

What are we looking for?

We99re 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:

  • FINRA Series 7 and Series 66 (or Series 63 and 65) licenses.

  • 5+ years of experience in the financial services industry, preferably in a client-facing or support role.

  • Bachelor's degree.

Core Competencies:

  • Strong understanding of financial planning principles, investment products, and retirement solutions.

  • Excellent communication (written and verbal) and interpersonal skills.

  • Highly organized with strong attention to detail and ability to manage multiple priorities.

  • Proficiency in Microsoft Office Suite (Word, Excel, PowerPoint) and CRM software.

  • Demonstrated ability to work independently and collaboratively in a fast-paced environment.

  • Client-centric mindset with a commitment to delivering outstanding service.

Preferences:

  • Life, Accident & Health insurance licenses preferred.

  • CFP preferred but not required.



Pay Range:

82,200.00 - 137,000.00
The 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 6 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!

About LPL Financial Holdings, Inc.

LPL Financial Holdings, Inc. Careers

Joining LPL Financial Holdings, Inc. presents an unparalleled opportunity to become part of a leading team of professionals in the financial services industry. The company is renowned for its commitment to innovation, leadership, and professional growth, making it an ideal workplace for ambitious individuals looking to advance their careers.

Explore Job Opportunities

LPL Financial Holdings, Inc. offers a variety of job opportunities that cater to a range of skills and interests. From entry-level positions to senior leadership roles, each job opening provides a platform for personal and professional development. Candidates can expect a rigorous interview process that ensures each team member is not only a fit for the position but also aligns with the company's culture of excellence and integrity.

Internship Programs

For those starting their career journey, LPL Financial Holdings, Inc. provides robust internship programs designed to offer real-world experience in the financial sector. Internships are a cornerstone of the company's commitment to nurturing young talent, providing a foundation of knowledge and skills that are crucial for future employment in the industry.

Commitment to Diversity and Inclusion

Diversity and inclusion are at the heart of LPL Financial Holdings, Inc. The company believes in empowering all employees through diversity training and leadership opportunities that promote an inclusive workplace. This approach not only enhances team collaboration but also drives innovation and creativity.

Benefits and Culture

LPL Financial Holdings, Inc. is dedicated to supporting its employees with comprehensive benefits designed to promote a healthy work-life balance. Benefits include competitive health care options, retirement plans, and wellness programs. The company culture is built on a foundation of mutual respect and teamwork, encouraging networking and professional development across all levels of the organization.

Professional Growth and Development

Employees at LPL Financial Holdings, Inc. are encouraged to continuously enhance their professional skills and advance their careers within the company. Leadership development programs and continuous learning opportunities are readily available, allowing individuals to achieve their career goals and contribute effectively to their teams.

Join the LPL Financial Holdings, Inc. Team

LPL Financial Holdings, Inc. is actively hiring and looking for passionate, creative, and solution-driven team players. Explore open positions that match your skills and interests on the LPL Financial Holdings, Inc. careers page. Each position offers a chance to be part of a dynamic team that is instrumental in shaping the future of financial services.

Stay Connected

Keep up to date with career tips, insider perspectives, and industry-leading insights through the LPL Financial Holdings, Inc. careers blog. Personalize your subscription to receive job alerts, latest news, and insider tips tailored to your preferences. Discover the exciting and rewarding career opportunities that await at LPL Financial Holdings, Inc.

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Embark on a career path that fosters growth, embraces diversity, and rewards innovation. LPL Financial Holdings, Inc. is not just a company—it's a place where you can make a difference.
Learn more about LPL Financial Holdings, Inc.
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Finance & Insurance
* Ladders Estimates

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