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VP - Financial Planning

Job ID: R-004472 Date posted: 01/22/2019 Primary Location CA-San Diego Other Locations SC-Fort Mill

Role Description & Responsibilities

Description:  The VP, Financial Planning is responsible for the sales and distribution of LPL’s Financial Planning platform and capabilities.  This management role will lead our financial planning sales organization is support of the LPL affiliated advisors.  The role will develop strategy, execute the business plan and expand our distribution capabilities.  This position will be a member of the Wealth Planning leadership team, a division of our National Sales and Consulting organization. 

Responsibilities: The Financial Planning leader will be responsible for the day-to-day management of our financial planning sales and distribution team.  This will include specifically: 

*Building on our strategy to grow financial planning usage and adoption

*Lead our financial planning team that supports LPL affiliated advisors

*Develop our core platform, tools and resources to help advisors grow their practice

*Drive cross-selling environment to support plan implementation across all products

*Talent Development – development of our managers and consultants

The position will be directly managing a team of senior financial planning consultants and be accountable for the daily functions and development of the team.  The planning consultants provide LPL Financial Advisor inquiries related to our financial planning platform, financial planning systems, and technical financial planning issues. The Financial Planning Group is responsible for providing timely, accurate and actionable guidance to LPL Financial Advisors on all areas of financial planning and planning practice support.  This individual will be responsible for managing multiple priorities and tasks simultaneously and for interacting with LPL Financial Advisors over the telephone and in-person.

Financial Planning Group Core Functions:

  • Assist advisors via phone in the design of financial planning solutions for their clients; help advisors illustrate specific cases concerning their clients within LPL Financial's WealthVision software platform; contribute to advisors satisfaction by providing them with timely and responsive services, assistance with implementation and work products.
  • Timely and accurate processing of financial planning engagements. Identifying implementation opportunities from phone call and financial plan reviews for inter-department referrals. Thoroughly and accurately, analyze information; work with internal resources to prepare practical and creative solutions to client's financial planning situation and arrive at appropriate conclusions; share planning ideas with others as well as participate in and contribute to achieving team goals.
  • Provide Advisor onboarding support to our LPL Financial internal business partners; Being prepared and professional with Advisor engagements through the home office visit process; timely follow-up with advisor and internal business partners specific requests.
  • Demonstrate an understanding of increasingly complex personal and business financial planning concepts and discuss complex personal and business financial planning issues with financial planning team and advisors. Keep informed of current financial planning developments and effectively apply knowledge to client situation.

Essential Functions:

  • Creating and maintaining a positive culture that values high performance, collaboration, transparency and talent development.
  • Examine trends, develop insights, and create solutions in order to better support Advisors and the Sales Team
  • Creating department goals, evaluating team’s results to ensure that departmental and organizational objectives are met and are in line with the needs and mission of the organization
  • Collaborative engagement with critical internal/external stakeholders to ensure alignment of goals and priorities
  • Identify opportunities and create programs to increase same store sales growth and retention on LPL’s insurance and annuity platform, advisor satisfaction, and adoption/satisfaction of LPL enterprise services (LPL Research, Financial Planning, Outsourced Services, Private Client Group, Insurance and Annuity, The Private Trust Company, Business Intelligence, Sponsor Relations, Marketing, Compliance, STO, and Product/Platform Management).
  • Incentive compensation planning, performance management and assessment
  • Territory T&E planning and assessment
  • Manage attrition risk of Advisors by proactively partnering with internal stakeholders to resolve high profile and complex situations
  • Partner will carrier sponsors to drive strategy and sales growth
  • Strong executive presence with the ability to interact with and influence LPL Senior Management
  • Project Management Work
  • Various public speaking engagements to include advisor, sponsor and industry events
  • Developing and executing business plan initiatives


  • Minimum Education Required: Bachelor's degree required, MBA and/or industry certifications are a plus
  • Minimum Experience Required:  10+ years of Financial Services experience with a distribution and management background
  • Series 7 and 63, 65 or 66 required
  • CFP required
  • Series 24 strongly preferred
  • Broad exposure to financial planning
  • Must have strong knowledge of financial planning software; eMoney knowledge is a must
  • Experience with federal income taxation matters
  • SalesForce and Miller Heiman (or advanced sales training) preferred
  • National and local travel is required
  • The ability to work independently and in a team environment
  • Strong written and oral communication skills, public speaking expertise, strong customer service and marketing skills
  • Excellent organization and time management skills, as well as a strong attention to detail are essential for success in this position
  • Must be a strong team player that thrives in a rapidly changing environment
  • Successful candidates will be self-motivated and goal driven and will be compensated through an incentive based compensation structure.

About LPL Financial:

LPL Financial is a leader in the retail financial advice market and the nation’s largest independent broker/dealer*. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. LPL and its affiliates have more than 3,700 employees with primary offices in Boston, Charlotte, and San Diego.

Our Culture:

If you join LPL, you will join a culture that believes in delivering a world-class client experience and looks to all employees to contribute to that goal by sharing their creativity, experience, and passion for continuous improvement. As a destination of choice, our top priorities are growth and development, social responsibility, and financial health for our employees. 

We offer competitive compensation and industry leading benefits, including a wellness facility with onsite fitness classes, healthy meal choices, and a walk-in clinic. We support employee financial health through a 401k match, ESPP, and employee discounts. Work/life balance is our foundation and is supported through paid holidays, and paid time off (including time to volunteer). We foster a diverse work environment through Employee Resource Groups and diverse strategic partnerships.  

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please login or create an account to apply to this position. Principals only. EOE

*As reported by Financial Planning magazine, June 1996-2017, based on total revenue.

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