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Senior Financial Advisor

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Job ID R-024338 Date posted 08/24/2022 Primary Location TX-Austin

Do you thrive in a competitive, team oriented, and client centric environment? Are you looking for a supportive, education focused environment to enhance your wealth management skillset? Are you an intrinsically motivated self-starter who likes being in control of their career progression and earning potential? Do you want to be a part of one of the fastest growing, tech-forward financial companies in the industry?

LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 18,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

Investor Focused Solutions is a part of the LPL Services Group (LSG), a growing professional services company within LPL Financial that helps advisors and institutions execute on their biggest opportunities. Our human-led, tech-enabled services help our customers deliver great financial advice and run thriving businesses. Over 500 employees strong, we come to work each day dedicated to making an impact in lives of advisors, institutional partners, and investors.

Job Overview:

The Advisor of the Investor Solutions Team 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 want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement.

Requirements:

  • Bachelor’s degree required
  • Series 7, 63 and 65 or 66
  • Life & Health or CFP is preferred
  • Must have excellent telephone service/relationship management skills
  • Minimum of 2 years of direct client experience within the financial services industry
  • 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

Why LPL? 

At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.

We are one team on one mission. We take care of our advisors, so they can take care of their clients.

Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees.We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work.

Want to hear from our employees on what it’s like to work at LPL?  Watch this!

We take social responsibility seriously. Learn more here

Want to see info on our benefits?  Learn more here

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 (800) 877-7210.

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