Financial Advisor, Wealth Management

This role at CU SoCal in Financial Services would allow you to join the Wealth Management team as a Financial Advisor associated with LPL Financial. Under this model Financial Advisors are NOT employees of LPL Financial.

Monday – Friday 8:30AM – 5:30PM. Based upon business needs, our positions may require working flexible hours, including evenings and weekends.

Position is based at our Fullerton, CA branch and offers a hybrid remote work arrangement, with on-site support at local branches to service our Members.

• High School Diploma or equivalency.
• License and/or certifications:
  Currently hold a FINRA Series 7, 66 or 63 & 65 in lieu of 66 and/or other insurance licenses.
• 3+ years of business development and client-facing sales experience in the financial services, insurance, professional services, business advisory services and/or banking industries.
• Experience in marketing, business development and sales functions.
• Experience with Customer Relationship Management software.
• This role requires driving and must meet and maintain the following requirements:
  • Hold a valid CA state driver's license in good standing that is not actively suspended, revoked, or restricted.
  • Have reliable personal transportation. Use of any means of public transportation or ride sharing services will not satisfy this requirement.
  • Must maintain state liability auto insurance coverage with a minimum of 30/60/15 limits on the vehicle that will be used for work.
  • Maintain a clean Motor Vehicle Records (MVR).

• Bachelor's degree in Finance, Business, or other related service industry.
• Previous production minimum of $100,000 or assets under management of $10,000,000.

• Proficient in applicable MS Office programs (i.e., Word, Excel, Outlook, PowerPoint, Teams, etc.).
• A Financial Advisor will be an excellent communicator, a great listener, and take a consultative approach to wealth management solutions.
• Nurture relationships with CU SoCal staff including MSOs, LBEs.
• Excellent project management, analytical, interpersonal, oral, and written communication skills.
• Ability to thrive in a dynamic Team environment.
• Professionalism, dependability, integrity, and trustworthiness combined with a cooperative attitude.
• Highly motivated self-starter with ability to multitask and complete assignments within time constraints and deadlines.
• Strong organizational skills and attention to detail.

• Ability to service an existing book of business upon hire.
• Ability to build a strong client list with the credit union’s exceptional referral system.
• Service a branch territory with significant deposit base, which includes current Members who need an advisor to meet their financial goals.
• Opportunity to create client solutions through comprehensive financial planning.
• Grow your business with LPL’s combination of tools, technology, and support.
• Capitalize on the credit union’s reputation and community standing.
• Collect and analyze information regarding the Member's income, assets, investments or debts, and financial needs.
• Collect and analyze information regarding the Member's tax status, investment objectives, investment experience, investment time horizon, liquidity needs, risk tolerance, and any other information the Member may disclose.
• Compare and evaluate financial products that best meet the Member's needs and financial circumstances.
• Advise Members regarding the advantages and disadvantages of different financial products and recommend products that seem most suitable.
• Manage Members' portfolios including monitoring the portfolios over time, update assessments, and make further recommendations to the Member.
• Work independently with minimal supervision.
• Complete understanding and active application the C.A.R.E. 4 Guide expectations and the Brand Communications Standards Accountability Philosophy.
• Must be able and available to work a "hybrid" schedule, per business operations requirement, as needed.
• Additional duties and responsibilities, as assigned.

Base Pay + Commission Structure: 70,304 per year + commission through a performance-driven plan. Most earnings in this role are commission-based. Full plan details will be shared during the interview process.

CU SoCal is an equal opportunity employer. All decisions are based only on the individual’s qualifications/ability to perform the work. The above statements are intended to describe the essential functions, nature and level or work to be performed as of the document preparation date; they are not intended to be an exhaustive list of all duties and responsibilities. CU SoCal reserves the right to modify this job description at any time, without notice.