Associate Wealth Advisor
The primary role of the Associate Wealth Advisor is to provide investment and relationship management support to a senior advisor or team of advisors, including any and all daily, monthly, and annual research & reporting tasks to support the end-client's needs. The senior advisor will be responsible for the development of the Associate Wealth Advisor. The Associate Wealth Advisor helps the advisor maintain his or her practice and contribute to the business development, as well as manage a portion of the client book of business. The Associate Wealth Advisor will also be responsible for managing and growing their own assigned book of business.
The ideal candidate will have a strong attention to detail, excellent customer services skills and a proven ability to adapt to a changing work environment.
Responsibilities:
- Support and manage a portion of client relationships in advisor team book of business
- Effectively deliver and launch sales process discipline, helping to prospect for new business and expand client relationships
- Possess knowledge and demonstrate ability to assist Financial Advisors in presenting total wealth management solutions including investment research, selection of investments and overall financial planning
- Develop customized asset allocation strategies and investment solutions for clients; including risk management/insurance and tax/estate planning and develop customized investment solutions and asset allocation strategies for clients
- Provide support for overall client relationship building, business development activities, and effective service model execution
- Perform business analytics as needed to support financial advisors in the growth of the business
- Participate in portfolio performance reviews; analyze and interpret portfolio performance and make recommendations to financial advisors for potential change
- Attend sales meetings and assist with client prospecting and marketing
- Attend coaching sessions and training events to improve sales skills and industry knowledge
Qualifications:
- Proactive self-starter that is organized with a strong attention to detail and problem-solving skills. Strong time management with competing priorities
- Outstanding interpersonal skills with the ability to build and foster relationships with clients, coworkers, and internal/external partners
- Ability to analyze and research information with a logical approach to problem solving
- Proficiency in CRM applications, Microsoft Word, Excel, and PowerPoint
- 3 years of experience in client service, within the finance sector preferred
- Bachelor's degree or equivalent in Finance or Business Administration preferred
Licenses Required: Series 7, Series 66 (or Series 63/65). Life & Health Insurance License or obtain Licenses in +/-120 days based on the number of licenses needed
Skills Required
- Proactive self-starter, organized, strong attention to detail and problem-solving skills
- Strong time management with competing priorities
- Outstanding interpersonal skills and ability to build relationships with clients and partners
- Ability to analyze and research information with a logical approach to problem solving
- Proficiency in CRM applications, Microsoft Word, Excel, and PowerPoint
- 3 years of experience in client service within the finance sector
- Bachelor's degree or equivalent in Finance or Business Administration
- Licenses Required: Series 7 and Series 66 (or Series 63/65); Life & Health Insurance License or obtain licenses within approximately 120 days
LPL Financial Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about LPL Financial and has not been reviewed or approved by LPL Financial.
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Retirement Support — Retirement programs include a company 401(k) match that is frequently highlighted as a strong component of total rewards. Feedback suggests these features meaningfully enhance long‑term financial value.
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Equity Value & Accessibility — An employee stock purchase plan with a meaningful discount and lookback is highlighted as accessible ownership. Feedback suggests the plan adds tangible upside beyond base salary.
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Parental & Family Support — Paid parental leave has been expanded alongside family‑building and adoption support. Feedback suggests these benefits compare well to large‑employer standards.
LPL Financial Insights
What We Do
Financial advice is changing, and at LPL Financial, we’re at the forefront. We’re building a future where advisors can—with no friction or complexity, as simple as turning the dials—pick the business model, services, technology, and product mix that best meet their clients’ needs. With one platform, one sign-on, and one team to call, you can take your business anywhere you want it to go. There are no limits to your growth, and we’ll partner with you every step of the way. Your greatness is our goal. 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.com Securities and Advisory Services offered through LPL Financial. A registered investment advisor, Member FINRA/SIPC.
