FourLeaf Federal Credit Union · 1 week ago
LPL Financial Advisor
Nassau County, NY
Full-time
Onsite
Entry, Mid Level
1+ years expFourLeaf Federal Credit Union is committed to the financial well-being of its members and is seeking an LPL Financial Advisor to provide professional investment planning services and products. The role involves establishing long-term relationships with members, delivering comprehensive financial plans, and ensuring compliance with regulatory requirements.
BankingCommunitiesFinanceFinancial ServicesInsuranceLendingMortgage
Responsibilities
Provide professional Investment Planning Services and Products to FourLeaf Members and employees. Understanding the members’ objectives, goals, time horizon and risk tolerance, prepare and deliver comprehensive financial plans, provide pre/post-retirement planning and wealth transfer strategies, that include; executing on the plan, rebalancing, selling, purchasing and establishing investments, transferring assets, portfolio reviews, analysis and assessments. Anticipate complex financial needs through tools, resources, experience, member profiling and suitability assessments. The advice and guidance offered must be clear, compliant, in the member’s best interest and include the features, benefits, risks, and costs, regulatory disclosures of products, securities, insurance and strategies
Establish relationships with colleagues and associates highlighting the value FourLeaf Financial Group provides members and teammates alike, to master referral opportunities. Proactively source, acquire and expand member relationships by maximizing sale and service opportunities. Provide regular value-added engagement with members, face-to-face meetings, and consistent communications, strengthen member relationships, retain assets, ensure objectives and goals are accurate and there is no new information that would require changes to the investments or plan. Adhere to all regulatory and compliance operating procedures for reviews at a minimum as well as update broker dealer required documentation and service forms within the time allotted. Engage in activities that foster strong relationships by supporting and introducing potential members and credit union products. Partner with all roles on branch team to ensure all clients have a positive in-branch experience. Conduct branch training for staff
Must have proven sales experience with a committed sales process that includes; effectively prospecting, connecting, qualifying, product and plan presentation, demonstrating value, documenting, disclosing and closing. Acquire new members through converting referral leads, circle of influence and referrals from the existing book of business
Maintain current knowledge on products, processes, regulations, continuing education and compliance as well as sales ideas and activities are required. Have deep knowledge of the various account types, Individual, Joint, TOD, Custodial, Guardianship, Trust, Corporate, Guardianship, and various IRA accounts. Have a deep understanding of financial markets. Assist with Trust, Long-Term Care, and Elder Law planning
Appropriately assess risk when business decisions are made, demonstrating particular consideration for the divisions reputation and safeguarding FourLeaf, its members and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency
Fulfill annual compliance, FINRA, and state insurance continuing education requirements. Strictly adhere to all rules, regulations and reporting requirements of the SEC, FINRA, all applicable exchanges, regulatory authorities of the state, and all procedures of the broker dealer. Maintain clean licenses
Qualification
Required
Associate's Degree
1-4 years of experience
Three or more years of experience in investments and insurance sales and service preferred
FINRA Series 7, NASD 66 or 65 NYS Life and Health Insurance license required
PC, Windows, Internet proficient and MS Excel, Access, and Word skills
Must have proven sales experience with a committed sales process that includes; effectively prospecting, connecting, qualifying, product and plan presentation, demonstrating value, documenting, disclosing and closing
Maintain current knowledge on products, processes, regulations, continuing education and compliance as well as sales ideas and activities are required
Have deep knowledge of the various account types, Individual, Joint, TOD, Custodial, Guardianship, Trust, Corporate, Guardianship, and various IRA accounts
Have a deep understanding of financial markets
Assist with Trust, Long-Term Care, and Elder Law planning
Appropriately assess risk when business decisions are made, demonstrating particular consideration for the divisions reputation and safeguarding FourLeaf, its members and assets
Fulfill annual compliance, FINRA, and state insurance continuing education requirements
Strictly adhere to all rules, regulations and reporting requirements of the SEC, FINRA, all applicable exchanges, regulatory authorities of the state, and all procedures of the broker dealer
Maintain clean licenses
Preferred
CFP Certification preferred, NY State
Benefits
Medical, dental, and vision coverage
Life and disability insurance
Voluntary benefit programs
A 401(k) plan with employer match
Reimbursement and wellness programs
Annual performance-based bonus
Competitive 401(k)
Tuition and fitness reimbursement programs
Flexible work options
Volunteer opportunities
Executive “Water Cooler Chats”
Clubs, sports, and social events
Food truck days
Company
FourLeaf Federal Credit Union
FourLeaf Federal Credit Union is a financial institution that offers savings, insurance, and loan products to support your finances.
501-1000 employees
Funding
Current Stage
Late StageRecent News
2026-01-16
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