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Associate Advisor (San Ramon, CA)

Job ID: R-008262 Date posted: 11/21/2019 Primary Location CA-San Ramon

Are you looking to be part of something big?

A career in financial advice and wealth management may be an ideal path for you. It offers the chance to learn and grow within an exciting field—a rapidly accelerating industry that’s expected to grow by nearly a third over the next few years.

LPL Financial, the nation’s largest and fastest growing network of independent financial advisors,1 is seeking driven, forward-thinking individuals to join its Independent Advisor Institute. Through the program, you’ll have the opportunity to build a strong foundation for a career in wealth management under the tutelage of experienced industry professionals.

You’ll work alongside a successful LPL advisor in their office to learn firsthand the business of becoming a financial advisor. You’ll have access to a network of knowledgeable industry professionals, mentors, and a nationwide group of program participants to help ensure you reach your full potential. As part of the program, you’ll receive a competitive compensation package while you obtain your licensing, progress through training, and work toward becoming a full-fledged independent advisor. 

Successful candidates will demonstrate a passion for helping others turn life’s aspirations into financial realities and possess a service and detail-oriented mindset. They will enjoy building relationships, shaping unique solutions, and being active in their local community.


  • Participate in a comprehensive advisor training program (one year), which includes:
    • Successful completion of Series 7 and Series 66 licensing exams within 120 days
    • Participation in classroom learning sessions (virtual and in-person)
    • Apprenticeship, mentoring, and coaching sessions with a mentor advisor and other industry professionals
  • Attend sales meetings and assist with client prospecting and marketing
  • Attend coaching sessions and training events to improve sales skills and industry knowledge
  • Process trades under direction of the mentor financial advisor
  • Process required paperwork for investment transactions and interact with the mentor advisor’s broker/dealer
  • Collect appropriate documentation to set up new accounts

    Job Requirements:

  • One to three years of applicable professional experience and/or experience working in a professional sales or entrepreneurial setting
  • Bachelor’s degree
  • Criminal background check (for financial licensing purposes)
  • Personal finances must be in good standing (for financial licensing purposes)
  • Ability to obtain Series 7 and 66 licenses within the first 120 days of employment
  • High attention to detail and desire to deliver superior client service
  • A confident and engaging presence, high emotional intelligence, and willingness to listen
  • Ability to influence people
  • Entrepreneurial spirit and self-motivation to succeed
  • Ability to multi-task with high degree of accuracy
  • Ability to learn and accept standard operating procedures and compliance regulations
  • Proficiency with Microsoft Office
  • Ability to quickly learn new technologies and software programs
  • Highly coachable
  • Demonstrated community involvement
  • Ability to communicate complex topics in an easy-to-understand manner
  • Strong analytical and communication skills

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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