LPL Financial · 2 weeks ago
Trading Consultant
Newport Beach, CA
Full-time
Onsite
Senior Level
$94K/yr - $157K/yr
5+ years expLPL Financial is a leading independent broker-dealer committed to helping clients pursue their financial goals. They are seeking a highly motivated Client-Facing Trading Specialist to serve as the primary point of contact for clients, handling trade-related inquiries and providing real-time support in a fast-paced environment.
FinanceFinancial Services
Responsibilities
Client Communication: Act as the main point of contact for clients and financial advisors regarding trade inquiries via phone and other channels, ensuring open, interactive, and professional communication
Trade Execution: Execute trades on behalf of clients efficiently, accurately, and in accordance with established trading strategies and regulatory requirements
Issue Resolution: Provide daily support to clients, proactively addressing and resolving trade-related issues and discrepancies in cooperation with back-office partners and the trading team
Client Education & Support: Educate clients on complex derivative strategies, market best practices, and proprietary trading platforms to help them maximize their use of technology
Market Monitoring: Continuously monitor market conditions, analyze data to identify opportunities and risks, and present actionable insights to clients and internal stakeholders
Documentation & Compliance: Maintain meticulous records of customer interactions and trade activities in CRM systems, ensuring all paperwork and procedures adhere to compliance/risk protocols
Process Improvement: Identify and implement process improvements to increase efficiency and accuracy within trade operations and client service delivery
Qualification
Required
Bachelor's Degree
Series 7 & Series 66 (or Series 63 and Series 65)
5+ years of experience in financial services, preferably 5+ years of trading
Preferred
Bachelors Degree in Finance, Economics, Accounting or a related field is a plus
Solid understanding of market structures, various financial products, and trading platforms
Microsoft Excel: Advanced skills including complex formulas, pivot tables, and data visualization are critical
Market Data Platforms: Familiarity with industry-standard tools like Bloomberg Terminal or Refinitiv Eikon
Benefits
401K matching
Health benefits
Employee stock options
Paid time off
Volunteer time off
And more
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
Interim CEO
Sid Vyas
Chief Technology Officer/EVP
Recent News
Investment News
2026-01-11
2026-01-09
2026-01-09
Company data provided by crunchbase