Sr. Registration Specialist - Registrations

The Registrations team is seeking an individual to support the strategy and execution of LPL Enterprise LLC (LPL

E), a new introducing broker dealer clearing through LPL Financial. This individual will have excellent customer service and processing skills as it pertains to servicing the various registrations needs of our Clients and Business Partners. This position will be responsible for the processing of the securities registration/licensing of Advisors. Duties include providing outstanding customer service to advisors through written correspondence, email, and at times over the phone.

Daily tasks include data entry in Oracle, FINRA Web CRD.

• Processing advisor requests, state registrations, exam requests and other registration requests
• Perform processing duties such as data entry, generating letters, processing new advisor paperwork and maintenance of advisor registration and insurance licensing
• Learning and becoming proficient with understanding FINRA and State Registrations rules and how it pertains to departmental functions
• Assisting partner departments with questions and workflow
• Ensuring regulatory compliance on owned processes
• Accurate and speedy data entry
• Process insurance appointments and licensing requests

What are we looking for? We’re looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness
, act with integrity
, and are driven to help our clients succeed
. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.

• High School Diploma or GED Equivalency
• Exhibits a consultative, client‑focused approach
• Experience with Microsoft Office suite such as Excel
• Ability to handle multiple tasks in a high-volume and fast-paced environment
• Attention to detail and prioritization of tasks
• Adaptability, and able to adjust as business needs demand

• 1+ years of relevant experience in financial services, insurance, or a related financial organization is preferred

$22.43-$37.39/hour

Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more.

Your recruiter will be happy to discuss all that LPL has to offer!

Principals only. EEO.