Associate Financial Advisor II

Where Ambition Meets Innovation

Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you’ll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals.

Job Overview:

As an Associate Financial Advisor, you’ll work alongside a successful LPL Advisor to continue to build your business and become a Financial Advisor with the ability to deliver advice, planning, and investment management support. You’ll have access to a network of knowledgeable industry professionals, mentors, and resources to help ensure you reach your full potential as you move into the role of a Financial Advisor. 

Responsibilities:

In this role, your primary responsibility is to help clients grow and protect their assets to achieve their financial goals including, but not limited to: 

• Assist in portfolio trading

• Funding for a secure retirement 

• Funding for a child’s or grandchild’s education 

• Build referral pipelines and develop strong partnerships to help develop and grow client relationships 

• Analyze financial data received from clients and assist with the development of investment strategies to meet their goals

• Initiate financial plans for clients based on their goals, time horizon, risk appetite, etc. 

• Prepare and review client communications as well as forms and documents needed for customer accounts 

• Adhere to all Compliance and Legal requirements

• Schedule appointments and prepare for meetings, answer routine client questions

• Attend sales meetings and assist with client prospecting and marketing

• Attend coaching sessions and training events to improve sales skills and industry knowledge

• Lead efforts to understand and then utilize new tools and resources to improve team productivity (e.g., new technology, platform enhancements) 

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

• FINRA Series 7 and Series 66 (or Series 63 and 65) licenses

Core Competencies:

• Strong understanding of financial planning principles, investment products, and retirement solutions.

• Excellent communication (written and verbal) and interpersonal skills.

• Highly organized with strong attention to detail and ability to manage multiple priorities.

• Proficiency in Microsoft Office Suite (Word, Excel, PowerPoint) and CRM software.

• Demonstrated ability to work independently and collaboratively in a fast-paced environment.

• Client-centric mindset with a commitment to delivering outstanding service.

Preferences:

• Working knowledge of eMoney or similar planning software

• Life, Accident & Health insurance licenses preferred

• CFP preferred but not required

 

Pay Range:

82,200.00 - 137,000.00
 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!
 

Company Overview:

LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace(6) , LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses. For further information about LPL, please visit www.lpl.com.

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.

For further information about LPL, please visit www.lpl.com.

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 (855) 575-6947.

EAC 5.19.26