• Job Description

  Req#: R-032080

  LPL Financial is looking to grow our Fort Mill, South Carolina corporate office and is looking to bring on, license and training aspiring financial advisors to join our Investor Solutions Team.

  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 is eager to enhance their consultative sales skills? Do you want to be a part of one of the fastest growing, tech-forward financial companies in the industry? If so, then this could be the role for you!

  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 20,000 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 Financial Advisor - Unlicensed role provides aspiring Financial Advisors the foundational skills necessary for a successful career in wealth management including; client relationship management, comprehensive financial planning, investment solutions, product implementation, financial markets and consultative selling. The 6 month program provides a comprehensive training on LPL’s systems and procedures, tutoring and support to obtain necessary FINRA licenses (7&66), and coaching from our leadership team.

  After completing licensure and necessary milestones throughout the program, Training Financial Advisors will graduate with an opportunity to support our growing book of clients as an Associate Financial Advisor. 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 examine clients immediate and long term investment needs, help design solutions that best meet their individual financial goals and help grow our book of 120,000 clients.

  Responsibilities:

  · Licensure Testing: Training Advisors will be responsible for passing their SIE, series 7, and series 66 within the first 120 days of employment.

  · Training: Training Representatives will be immersed in a hands on and comprehensive training which includes investment solutions and products, comprehensive financial planning concepts, systems and operational functions, client service, and consultative sales skills. Training Representatives will be responsible for achieving milestones and learning comprehension goals to graduate.

  · 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.

  Requirements:

  · Bachelor’s degree or equivalent

  · High integrity, detail oriented and ability to evaluate and mitigate risk

  · Must have excellent communication skills, an avid listener, and strong business writing skills

  · Passion for financial services and client service

  · Organized with their time, and able to pass multiple FINRA licensing examinations

  Preferences:

  · SIE is preferred or strongly encouraged to have completed before start date

  · telephone service/ client 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

  · Basic understanding of financial planning concepts, investment markets, and account types

  · Entrepreneurial mind set, self-starter and quickly adapt to a fast paced environment

  · 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-EC

  
  

  Pay Range:

  44,000-66,000/year

  
  

  Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. 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. This position is also eligible to earn sales incentive compensation. Your recruiter will be happy to discuss all that LPL has to offer!

  
  

  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 @lp lfinancial.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.

• About the company

  LPL Financial Holdings Inc was founded in 1968 and is considered the largest independent broker-dealer in the United States.

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