Walnut Creek, California, United States · On-site
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Walnut Creek, California, United States • On-site
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The Wealth Advisor provides comprehensive, needs-based investment and insurance solutions to retail bank customers. They are responsible for building partnerships with branch managers and meeting sales goals while ensuring regulatory compliance.
Candidates must have at least two years of investment sales experience and hold active Series 7, 63, and 65/66 registrations along with a Life Insurance License. A high school diploma is required, though a bachelor's degree is preferred.
LPL Financial collaborates with credit unions to provide a comprehensive suite of financial services tailored to their clients' needs. This exciting opportunity at the Retirement and Investment Center located at Nuvision Federal Credit Union invites you to join our employee advisor model as a Wealth Advisor affiliated with LPL Financial.
This role will require the employee to work on-site at the local bank branch located in Walnut Creek, CA.
A Wealth Advisor acts as a dedicated representative assigned to a specific branch (or multiple branches) to deliver Non-Deposit Investment Products (NDIPs) and services to the branch customers and prospective customer base. Serves as an advisor to provide an advice-based approach to financial solutions for an assigned book of business. Actively solicits new and existing investments and insurance solutions from retail client base designed to meet the individualized needs of each customer. Establish a strong partnership with Retail Branch Managers and Centers of Influence and maintain strong working relationships with all assigned branches.
Utilizing a consultative, holistic approach, sales process, and assessment tools where appropriate.
Providing comprehensive, needs- based financial solutions to clients by offering a range of investment/insurance solutions
Delivering needs based, comprehensive financial solutions by offering a suitable and diversified set of brokerage, advisory, and insurance solutions to meet client needs and objectives.
Employing ethical business practices to ensure full compliance of regulatory, broker dealer and institution requirements
Delivering a high-quality customer service experience during each customer interaction
Building strong relationships with retail branch staff, supporting and motivating their referral efforts. Developing a complete understanding of the core institution products to support cross- selling opportunities and to generate referrals back to the institution where appropriate
Meet or exceed established sales goals for assigned territory while ensuring compliance with policies, procedures and regulations governing products and services.
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 are able to execute in a way that encourages creativity and continuous improvement.
High school diploma or equivalent (Bachelor’s Degree Preferred)
Minimum of two (2) years investment sales experience (preferably in a financial institution)
Must maintain Licenses and FINRA registrations: Active State Applicable Life Insurance License, Active Series 7 Registration, Active Series 63 Registration (if required by the state of hire), Active Series 65 or 66
Registration (If required by the state of hire. If required by state of hire and not active, must acquire within the first six months of hire)
Computer literate with proficiency in Microsoft Office product suite, including Power Point and applications specific to the broker dealer
Demonstrated ability to sell products and services to investment clients; evidence of strong sales results
Broad knowledge of characteristics and needs of clients and partners within the bank- based investment market space
Excellent knowledge of investment/insurance products and financial planning
Strong self-motivation and ability to work independently
Excellent verbal, written and interpersonal communication skills
Possess strong organization skills
Excellent customer service and business focus with a great attention to detail
Effective research and analysis skills
#LI-Onsite
Empowering financial advisors to deliver personalized advice to all who need it.
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, LPL supports over 29,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $1.9 trillion in brokerage and advisory assets on behalf of approximately 7 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.
Offices: 4707 Executive Drive, San Diego, CA 92121-1968, US · 1055 LPL Way, Fort Mill, South Carolina 29715, US · 75 State St, 22nd Floor, Boston, Massachusetts 02109, US · 13620 N FM 620, Building C, Suite 200, Austin, Texas 78717, US
Empowering financial advisors to deliver personalized advice to all who need it.
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, LPL supports over 29,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $1.9 trillion in brokerage and advisory assets on behalf of approximately 7 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.
Offices: 4707 Executive Drive, San Diego, CA 92121-1968, US · 1055 LPL Way, Fort Mill, South Carolina 29715, US · 75 State St, 22nd Floor, Boston, Massachusetts 02109, US · 13620 N FM 620, Building C, Suite 200, Austin, Texas 78717, US
