LPL Financial

Senior Financial Representative

LPL Financial • $90K — $150K *
Houston, TX 77084In-Person
Finance & Insurance
Less than 5 years of experience
Today
Be an Early Applicant
Job Overview by Ladders

Qualifications

  • Bachelor's degree or equivalent experience
  • Series 7, 63 and 65 or 66 licenses necessary
  • 2+ years of client-facing experience in financial services
  • Preference for Life & Health or CFP designations
  • Strong understanding of financial planning and investment concepts
  • Excellent communication and relationship management skills
  • Ability to thrive in a fast-paced, team-oriented environment

Responsibilities

  • Provide exceptional client service through calls and email communications
  • Maintain and ensure compliance for a book of 120,000 clients
  • Analyze and implement customized financial planning solutions
  • Adapt investment strategies to suit diverse client needs
  • Achieve sales goals through consultative relationships with clients
  • Coordinate with other departments for enhanced client experiences
  • Assess and mitigate risks in client interactions and investments

Benefits

  • 401K matching
  • Health benefits
  • Employee stock options
  • Paid time off
  • Volunteer time off
Full Job Description
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 basis
  • Investment 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 experience
  • Series 7, 63 and 65 or 66
  • 2+ years of direct client experience within the financial services industry


Preferences:
  • Life & Health or CFP
  • Must have excellent telephone service/relationship management skills
  • Prior financial tele-sales, trading or call center service experience
  • Previous experience as financial advisor or delivering advice and guidance to retail clients
  • Strong understanding of financial planning concepts, investment markets, and account types
  • Must have excellent communication skills, an avid listener, and strong business writing skills
  • Entrepreneurial mind set, self-starter and quickly adapt to a fast paced environment
  • High integrity, detail oriented and ability to evaluate and mitigate risk
  • Proficient 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-PA

Pay Range:
90,000.00 - 150,000.00
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 - 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

LPL Financial is the largest organization of independent financial advisors in the United States. LPL Financial was formed in 1989 through the merger of two brokerage firms: Linsco (established in 1968) and Private Ledger (established in 1973); and has since expanded its number of independent financial advisors from a few hundred to more than 13,300 in 2012. LPL Financial has main office locations in Boston, Charlotte, and San Diego. Approximately 2,900 employees support financial advisors; financial institutions; and technology, custody, and clearing service subscribers with enabling technology, comprehensive clearing and compliance services, practice management programs and training, and independent research. LPL Financial advisors help clients meet investment goals with a number of financial services, including equities, bonds, mutual funds, annuities, insurance, and fee-based programs. Unlike many other brokerage firms, LPL Financial does not develop its own investment products, enabling the firm’s investment professionals to offer financial advice free from broker/dealer-inspired conflicts of interest.

LPL Financial Careers

Join the dynamic team at LPL Financial, a leader in the financial services industry, and be part of a company that values innovation, leadership, and professional growth. At LPL Financial, we offer unparalleled job opportunities that propel your career forward while fostering a culture of diversity and inclusion.

Work You’ll Do

At LPL Financial, you’ll engage in meaningful work that directly impacts our clients and the financial industry. As part of our team, you will: - Utilize your skills to drive innovation and operational excellence. - Collaborate with seasoned professionals in a culture that celebrates diversity and inclusion. - Lead projects that transform our services and client experiences at the intersection of technology and financial consultancy.

Join Our Market-Leading Team

LPL Financial is not just a company; it's a community where you can build a career. Our team of experts is dedicated to providing guidance and support that enhances your professional journey: - Participate in diversity training programs that prepare you for leadership roles within and beyond the company. - Engage in networking opportunities that connect you with industry leaders and peers. - Benefit from a robust suite of benefits designed to support your physical, emotional, and financial well-being.

Innovative Growth and Development

We believe in nurturing the growth of our employees through: - Comprehensive professional development programs that include certifications, seminars, and workshops. - Leadership tracks that encourage innovation and strategic thinking. - Internship programs that offer real-world experience and a pathway to full-time employment.

Explore Job Opportunities

Whether you’re just starting your career or looking for a new challenge, LPL Financial offers a range of positions from entry-level to executive. We are committed to hiring talented individuals who are passionate about the financial services industry and dedicated to client success. - Search open positions that match your skills and interests. - Prepare your resume and refine your interview techniques with our career resources. - Discover the rewards of a career at LPL Financial, where your ambitions are met with endless opportunities.

Stay Connected

Join our team and stay ahead with career tips, insider perspectives, and industry-leading insights you can put to use today—all from the people who work here. - **Search LPL Financial Jobs** - **Read Careers Blog**

Job Alert Emails

Personalize your subscription to receive job alerts, latest news, and insider tips tailored to your preferences. Explore the exciting and rewarding opportunities that await at LPL Financial. At LPL Financial, we empower our employees to excel in their careers and lead the way in the financial services industry. Join us and make a difference with your passion, curiosity, and drive.
Learn more about LPL Financial
Size
6,059 employees
Market Cap
$16.6 billion
Industry
Finance & Insurance
Net Income
$472.6 million
Founded
2006
5 Year Trend
+13.8%
Revenue
$5.8 billion
NASDAQ
LPLA
* Ladders Estimates

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