LPL Financial · 2 weeks ago
Registered Client Service Associate
Farmington, CT
Full-time
Onsite
Mid Level
$25.10/hr - $41.83/hr
3+ years expLPL Financial is a leading independent broker-dealer that empowers professionals to shape their success while helping clients pursue their financial goals. The Registered Client Service Associate will provide comprehensive administrative and operational support within financial advisors' practices, enhancing the client experience and ensuring compliance standards are upheld.
FinanceFinancial Services
Responsibilities
Acts as the primary point of contact for clients, addressing inquires and providing timely resolution
Educates clients on account services and capabilities, including online access
Assist in onboarding new clients by collecting documentation and facilitating account setup
Prepare and process account opening, maintenance, and transfer documentation, ensuring accuracy and compliance
Monitor and manage client account activities, this may include contributions, distributions, trading and performance reporting
Maintain organized and up-to-date client records in the firm’s CRM system
Ensure adherence to industry regulations and firm policies in all client interactions and documentation
Assist in preparing reports for audits and regulatory reviews
Stay informed about changes in compliance requirements and implement necessary adjustments to processes
Coordinate with custodians and service providers to facilitate client requests and resolve issues
Assist financial advisors with administrative tasks, including scheduling meetings and preparing client presentations
Participate in team projects aimed at improving operational efficiency and client service delivery
May aid in planning and execution of client events, seminars and marketing initiatives
Prepare and distribute client communications, newsletters and marketing updates
Identify opportunities to enhance client engagement and contribute to business growth strategies
Qualification
Required
Minimum 3 years in financial services, preferably in a client support role
Active Series 7 or Series 66 (Or Series 63, 65 combo)
Strong organizational skills and attention to detail
Strong problem-solving skills
Ability to work independently and collaboratively in a fast-paced environment
High level of professionalism, discretion, an ethical conduct
Preferred
Robust understanding of financial products and services
Ability to execute trades and discuss investment recommendations within compliance limits
Excellent communication and interpersonal skills
Proficient in Microsoft Office and financial CRM software
Bachelor's degree in finance, business or accounting
Benefits
401K matching
Health benefits
Employee stock options
Paid time off
Volunteer time off
Company
LPL Financial
LPL Financial provides investment solutions and tools for independent financial advisors.
5001-10000 employees
H1B Sponsorship
LPL Financial has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (106)
2024 (105)
2023 (122)
2022 (127)
2021 (65)
2020 (44)
Funding
Current Stage
Public CompanyTotal Funding
$2.5B2025-03-31Post Ipo Equity· $1.5B
2024-06-03Post Ipo Debt· $1B
2010-11-18IPO
Leadership Team
Rich Steinmeier
Chief Executive Officer
Sid Vyas
Chief Technology Officer/EVP
Recent News
2026-01-09
2026-01-09
GlobeNewswire
2026-01-09
Company data provided by crunchbase