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Senior Financial Advisor

2 weeks ago

Houston, Texas, United States LPL Financial Full time

Job Overview:

The Investor Focused Solutions Team consists of LPL Financial employee advisors who provide investment solutions and holistic financial advice to investors virtually and over the phone. As an advisor on this team, you will help maintain our existing book of clients, examine their immediate and long-term investment needs, and design solutions that best support their pursuit of individual financial goals.

This role will be based in our field model, where you will work from one of our local LPL offices. You will interact with clients both nationally and within your local area through phone calls, videoconferences, and in-person meetings. You will receive comprehensive training, one-on-one coaching, and the opportunity to advance, with the ultimate goal of leading and thriving in your own practice, if you choose to do so.

We'll help you:

Build a successful career  at LPL through world-class training and on-boarding programs that set you up for success.

Get training and one-on-one coaching  from leaders who are invested in your success.

Grow your business knowledge  by using a defined consultative approach with clients to systematically identify client needs and appropriate solutions.

Build your network.  Starting in a field office, you'll interact with current clients, prospective clients, other LPL Advisors who are leading their own practice, and local LPL affiliated financial institutions, you'll be able to leverage these opportunities to grow your own book of business.

Provide end-to-end comprehensive advice,  deliver client reviews/presentations with confidence and recommend strategies to help clients achieve their financial goals and life priorities.

Build unlimited potential for financial growth.

Responsibilities:

Customer Service : Advisors are responsible for all functions of client relationship maintenance 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. You will be learning skillsets to manage your own book of clients.

Financial Planning : Advisors should have a detailed understanding of all aspects of the financial planning process. Advisors should be affective 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 daily.

Investment Solutions : Clients on our book possess a very wide range of 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 to field questions from our diverse client base.

Consultative Sales : Advisors will be responsible for meeting goals in investable assets, wallet share consolidation, and relationship deepening metrics. Advisors will need to be well versed in the consultative sales process 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 can execute in a way that encourages creativity and continuous improvement . We are looking for candidates whose goal is to become the best advisor they can be. Someone who has an entrepreneurial mindset with a career path of one day running their own practice.

Requirements:

Bachelor's degree required

Series 7, 63 and 65 or 66

2+ years of direct client experience within the financial services industry

Preferences:

Life & Health or CFP

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/yearThe 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

Company Overview:

LPL Financial Holdings Inc. (Nasdaq: LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional.

At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.

Join LPL Financial: Where Your Potential Meets Opportunity

At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation's leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services.