Licensed Financial Advisor Assistant/Client Services Administrator

Location: Scottsdale, Arizona

Department: Advisory Team - Customer Service

Reports To: Advisor(s)

FLSA Status: Exempt

Employment Type: Full-Time

Salary Range: Commensurate with experience plus additional discretionary bonuses

About Us

Lucia Capital Group is an independent financial planning and investment firm headquartered in San Diego, CA with satellite offices nationwide, including our Scottsdale, AZ location. Our mission is to help families achieve their financial goals by providing holistic financial planning, a research-based retirement income strategy called The Bucket Strategy®, a diversified investment management platform of advisory, brokerage, and annuity/insurance solutions, delivered by experienced CFP® professionals and financial advisors. LPL Financial serves as our RIA, Broker Dealer, and primary custodian.

We take pride in being a family business, treating both our clients and our team as an extension of the Lucia family.

If you’re looking to join a team that puts clients first, values knowledge and continuous improvement, and is committed to making a meaningful impact, we invite you to experience the Lucia Capital Group difference.

Job Summary

As a Licensed Client Services Administrator, you will play a pivotal role in supporting advisors and ensuring exceptional client service for our branch office. You’ll act as an extension of the advisors you work with by accurately implementing tasks associated with the advisors’ recommendations and you’ll be the go-to resource for daily client customer service requests via phone and email.

Key Responsibilities

· Provide outstanding support to advisors and customer service to clients via phone, email, and in-person interactions

· Open the office and ensure it is ready to receive clients when meetings are scheduled, greet clients, get to know the clients and let them know you are here to help.

· Work independently and effectively to review, maintain, update, and follow up to completion your list of CRM tasks related to implementing advisor recommendations or customer service requests.

· Accurately prepare paperwork (mostly electronic these days) for new accounts, transfers, account updates like address changes and beneficiary changes, distribution requests, and more.

· Execute tasks, place trades, run reports within LPL ClientWorks and other investment/annuity provider sites so support our clients and manage the business.

· Answer inbound calls to resolve customer service requests, schedule advisor meetings.

· Make outbound phone calls to schedule client review meetings, follow up on service requests, update clients re: request status.

· Log all client interactions/activities in CRM

· Prepare and gather Orion reports, spreadsheets, and statements to ensure the advisor is fully prepared for client review meetings.

· Handle confidential and/or sensitive information responsibly

· Maintain administrative functions of the office such as checking mail, submitting correspondence for supervisory review, scanning, filing, ordering office supplies, etc.

· Participate in ongoing training and development

· Perform other duties as assigned

Required Characteristics

· Positive, can-do attitude with excellent customer service skills

· Detail-oriented and highly organized

· Comfortable managing multiple tasks simultaneously

· Self-starter who thrives in a team environment

· Strong verbal and written communication abilities

Required Experience & Licenses

· Series 7, Series 66, (or 63 & 65) with a “clean U4” (or able to obtain with 90 days)

· At least two (2) years of financial services experience

· Proficient with Microsoft Office/ Microsoft 365 (e.g., Outlook, Excel, Word, etc.)

· Experience using CRM systems (e.g., Microsoft Dynamics, Salesforce, Wealthbox, etc.) to update client information, track and follow up on tasks, log activities, etc.

· Experience performing advisory account/brokerage account operations in custodian account/trading platforms (e.g., LPL ClientWorks, Schwab, Fidelity, etc.)

Preferred Experience

· Bachelor’s degree or equivalent financial services experience

· Experience with LPL ClientWorks

· Experience in a registered representative/advisor office environment

What We Offer

Compensation for this position will be commensurate with experience plus discretionary bonuses. Benefits include medical, dental, vision, life/AD&D, 401(k) match, and FTO. LCG has a culture of teamwork. Business Casual dress work environment. Flexible office hours as determined by your manager.

Ideal Candidate - Career Growth & Development

The ideal candidate might be an experienced customer service representative who wants to work at a firm that has experienced/knowledgeable advisors who put clients first.

Or you might be newer to the industry, earned your securities licenses, and spent some time building or supporting a book of business, but have decided that you prefer helping people with customer service and without the pressure of “sales.”

Or perhaps you have your licenses and would like to be an advisor one day but recognize that the next stage of growth in your career is to gain more knowledge and experience working with veteran advisors. You are happy to spend the next few years providing customer service and administrative support to the team if given the opportunity to learn.

Equal Opportunity Statement

All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, age, disability, sexual orientation, national origin, or any other category protected by law and are subject to a criminal and credit background check as is required for this role.