The Associate Financial Advisor supports Lead Advisors in client services, manages schedules, prepares for meetings, and maintains operational systems, ensuring exceptional client experiences.
Overview
LaPorte Financial is a fully established client-focused financial planning firm. We provide personalized financial strategies designed to help clients accumulate, grow, and preserve wealth, achieve their goals, and gain peace of mind. We are seeking a licensed, dynamic, and detail-oriented professional to lead our operations and support both the advisor and client relationships.
About the Role
The Associate Financial Advisor supports the Lead Advisors in delivering an exceptional client experience and maintaining the firm’s high standards of planning, service, and operational excellence. This role is responsible for managing client service tasks, preparing for and supporting client meetings, maintaining financial planning and CRM systems, handling account and paperwork processing, monitoring workflows, resolving issues with the broker-dealer (LPL), and ensuring timely and accurate documentation.
The Associate Financial Advisor is a key member of the advisory team, operating with increasing autonomy as competency develops. This position requires strong communication, organization, follow-through, and a commitment to accuracy and professional conduct.
Key Responsibilities
Client Service & Relationship Management
• Support Lead Advisors in meeting client needs, inquiries, and service requests.
• Manage assigned clients’ annual and planning meeting schedules to ensure required review meetings occur within 12 months.
• Prepare for client meetings, including agenda creation, data gathering, and pre-meeting checklist completion.
• Document all client interactions with clear, timely, and accurate notes.
• Follow up on meeting deliverables, recommendations, and outstanding action items.
• Conduct proactive outreach to clients throughout the year regarding planning deadlines, contributions, tax items, and other service needs.
Tools, Systems & Technology Management
• Become proficient in LaPorte Financials’ CRM, planning, and operational systems, including WealthVision, Holistiplan, LPL ClientWorks, AdobeSign, WealthBox, Jump AI, Box, and related tools.
• Set up, update, and maintain client profiles, planning tools, workflows, and electronic files.
• Manage technology-driven processes with minimal supervision through self-directed learning and collaboration with the Advisor Team.
Account Servicing & Paperwork Processing
• Trading support within ClientWorks.
• Manage account updates, including address changes, name changes, beneficiary updates, and account features.
• Works with team to resolve issues.
• Communicate proactively with clients on status updates, transfers, and completion of paperwork.
Team Collaboration & Communication
• Participate in team meetings, training sessions, and professional development activities.
• Maintain professional communication with clients and internal team members.
• Coordinate workload and capacity with Lead Advisors proactively.
• Represent LaPorte Financial professionally at all times, including during client events outside
normal business hours.
What Initial Success Looks Like (6-12 months)
• Achieve proficiency in core systems (WealthBox, ClientWorks, Holistiplan, etc.) and perform
tasks with minimal supervision.
• Maintain consistent and accurate task documentation and client notes.
• Prepare for and support client meetings with accuracy and attention to detail.
• Develop a strong understanding of LaPorte Financials’ workflows, service model, and client
experience standards.
• Demonstrate reliability in meeting deadlines, communicating updates, and honoring
commitments.
• Build trust with Lead Advisors and team through quality work, proactive communication, and
adherence to expectations.
Qualifications
• Bachelor’s degree preferred; relevant coursework or financial services experience beneficial.
• FINRA securities registrations of SIE, Series 7, Series 66 (or 63 and 65).
• Prior client service, administrative, or financial industry experience preferred.
• Strong organizational skills with high attention to detail.
• Ability to learn financial systems and planning tools quickly.
• Excellent written and verbal communication skills.
• Professionalism, reliability, and sound judgment.
• Ability to manage multiple tasks and deadlines in a fast-paced environment.
Working Conditions
• This role is performed onsite in a professional office setting and requires the ability to meet the physical demands typical of an office environment.
• This role may require occasional participation in client or firm-sponsored events outside of standard business hours.
• The position requires periodic local and national travel, estimated at up to 10% of total working time.
What We Offer
• A supportive and purpose-driven work environment
• Opportunities for professional development and long-term career growth
• The chance to make a meaningful impact on the lives of clients and the local community
• Both a competitive salary and benefits.
.png)
