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Investment Transition Partner

LPL Financial

LPL Financial

Multiple locations
Posted on Tuesday, July 9, 2024

Are you a team player? Are you curious to learn? Are you interested in working in meaningful projects? Do you want to work with cutting-edge technology? Are you interested in being part of a team that is working to transform and do things differently? If so, LPL Financial is the place for you!

LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader in the markets we serve, supporting more than 22,000 financial advisors, 1,100 institution-based investment programs, and 500 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients.

Job Overview:

The Investment Transition Partner (ITP) in Business Transitions works directly with recruits who are transitioning to LPL Financial into any of LPL’s affiliation types. The ITP’s core responsibilities include conducting consultative discovery sessions with individual prospects and recruits to understand the makeup of their book of business, uncover any gaps, provide alternatives when gaps exist, and uncover brokerage or third party asset manager opportunities. The ITP also drives advisory platform adoption and AUM ramp by educating advisors on our platforms and creating mapping strategies for existing advisory assets to our platforms.

The ITP should display a full understanding of the unique advisor needs and possess an entrepreneurial spirit to provide support of the various investment products such as features, benefits, pricing, competitive landscape, leveraging tools and technology. The ITP is the subject matter expert and must demonstrate a high level of product knowledge, professionalism, and attention to detail in order to be a trusted consultant for financial advisors.


  • Training & Education - consult with financial advisors on all aspects of products & services to match the most applicable combination of practice management, economics, features and functionality to best meet the client's needs.
  • Host and promote group training webinars in addition to individual training sessions on all aspects of LPL’s advisory platforms.
  • Mapping of Assets – conduct a gap analysis on all investment products, managers and strategies, and provide solutions for any gaps. This could include onboarding current investment or finding an alternative by creating a competitive analysis and presenting options to the advisor for consideration.
  • Case Consultations & Design – consult with advisors to understand client needs, provide case design, risk class assessment, illustrations and recommendations of suitable products and carriers to meet those needs.
  • Engage with advisors to help them offer and sell the products.
  • Advanced Concepts & Marketing - provide overview of advanced sales concepts, consult with product/money managers as necessary. Articulate market and economic impacts as well as the technical investment characteristics of portfolios and underlying securities.
  • Consult on applicable supporting technology.
  • Articulate our value proposition and four pillars of support and provide an overview of advanced sales concepts.
  • With little direct supervision, problem solve a myriad of issues relating to compliance, operations, and technology concerns.
  • Leverage skills to diagnose advisor and client needs to provide appropriate options for consideration.
  • Assist advisors with analyses of existing portfolios.
  • Maintain up-to-date job knowledge on proposal tools and other resources that assist advisors throughout the sales and service process with investors.
  • Maintain current knowledge and understanding of LPL's offerings, sponsor products, market dynamics and industry trends.
  • Work collaboratively across business units to provide service and to facilitate cross referrals.
  • Participate in appropriate professional development activities to best provide support to advisors and their clients which may include pursuit of certain professional designations and continuing education

What are we looking for?

We want high-energy, strong collaborators who can deliver a world class, sales experience. We are looking for people who thrive in a fast-paced environment, are client focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement.


  • 2+ years of experience in Advisory Platforms and investment products
  • Series 7 and 65/63 or 66
  • MS Office knowledge


  • Bachelor’s Degree with a focus in Business/Finance/Economics
  • Knowledge of LPL Advisory Platform technology a plus: Advisory World, Enhanced Trading & Rebalancing, Resource Center and Portfolio Analytics Tool
  • Excellent communication skills - verbal and written, creative problem-solving, effective decision making, ability to diffuse tense situations, ability to multi-task, excellent follow-up skills, upbeat and outgoing personality
  • Also critical to have polished presentation skills and ability to interact with sophisticated clients and advisors

Pay Range:


The pay salary range is inclusive of base salary and potential sales incentive compensation based upon the applicable incentive compensation plan for this position. Base salary is determined on several factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Incentive compensation is dependent on achievement of goals set forth in the incentive compensation plan. 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!

Why LPL?

At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential.

We are one team on one mission. We take care of our advisors, so they can take care of their clients.

Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees. We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work.

Want to hear from our employees on what it’s like to work at LPL? Watch this!

We take social responsibility seriously. Learn more here

Want to see info on our benefits? Learn more here

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.

Information on Interviews:

LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card. Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at (855) 575-6947.