LPL Sr. Financial Advisor

SUMMARY

The LPL Sr. Financial Advisor is responsible for soliciting, selling and servicing securities and insurance products to CoastHills members and clients. Generates leads, recommends the right solutions to serve clients’ financial needs, and develops current and potential client relationships.

ESSENTIAL FUNCTIONS

Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. The following statements are intended to describe the general nature and level of work being performed by this position. It is not intended to be an exhaustive list of all duties, responsibilities, and skills required of this position. Other duties may be assigned to meet business needs.

Provides information to new and existing members regarding various LPL products, services

and investment opportunities.

Provides information to prospective and existing clients regarding insurance and securities products.

Meets with clients during non-business hours at the Chief Wealth Officer’s discretion.

Gathers and analyzes data by applying technical and professional expertise.

Responds to clients’ inquiries and requests; assists in completing forms and documents.

Resolves errors and client concerns in a timely manner.

Schedules client appointments and sends reminders and follow-ups.

Actively participates in Wealth Management Department functions.

Represents the Credit Union in a professional manner at social and business functions.

Regularly attends and participates in in-house training.

Performs duties as assigned by management and may be assigned to work at any branch.

SUPERVISORY FUNCTIONS

None.

QUALIFICATIONS

The qualifications listed below are representative of the knowledge, skill and/or ability required to perform the essential functions of this position.

Education and Experience

Bachelor’s degree in Business Administration, Management, Finance, Marketing or related field desired, or equivalent combination of education and experience. Five or more years selling financial products preferred.

Strong Knowledge of state and federal laws and regulations pertaining to securities and insurance products.

Certificates, Licenses and Registrations

FINRA Series 7 General Securities Registered Representative Examination.

FINRA Series 66 Uniform Combined State Law Examination.

California Life and Health Insurance Agent Examination.

Other Skills and Abilities

Travels, attends, and participates in meetings, seminars, and conferences held before and after normal business hours that may require unaccompanied long-distance travel and overnight lodging.

Ability to work a variety of hours, including evenings and weekends.

MS Office and other systems and software needed to effectively perform job.

AFFIRMATIVE ACTION/EEO STATEMENT:

CoastHills is an Equal Opportunity/Affirmative Action employer. We will consider all qualified applicants for employment without regard to race, color, religion, ancestry, gender, pregnancy, sex, sexual orientation, transitioning status, gender identity, gender expression, national origin, age, genetic information, military and veteran status, marital status, medical condition, mental disability, physical disability, or any other basis protected by local, state, or federal law.

For our EEO Policy Statement, please click here. If you’d like more information on your EEO rights under the law, please click here.