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Associate Financial Rep Jobs (NOW HIRING)

LPL Financial

Associate Financial Representative

Austin, TX · On-site

  • Medical

  • Retirement

  • PTO

Delivering financial advice and conducting reviews with clients over the phone via inbound and outbound calling activities * Handling and executing client transaction and general customer service ...

LPL Financial

Associate Financial Representative

Austin, TX · Remote

  • Medical

  • Retirement

  • PTO

Delivering financial advice and conducting reviews with clients over the phone via inbound and outbound calling activities * Handling and executing client transaction and general customer service ...

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Associate Financial Rep information

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$66

How much do associate financial rep jobs pay per hour?

As of Aug 20, 2026, the average hourly pay for associate financial rep in the United States is $26.31, according to ZipRecruiter salary data. Most workers in this role earn between $19.23 and $25.72 per hour, depending on experience, location, and employer.

What is an associate financial rep?

Associate Financial Representatives are entry-level professionals who support financial advisors and clients in a variety of administrative and customer service tasks. Their duties often include preparing financial documents, managing client records, scheduling appointments, and responding to client inquiries. They help ensure that the office runs smoothly and assist in the delivery of financial services. This role is typically a stepping stone to becoming a full-fledged financial advisor, offering exposure to the financial planning industry and valuable on-the-job training.

What are some common challenges faced by an associate financial rep during their first year on the job?

New Associate Financial Representatives often encounter challenges such as building a client base from the ground up, mastering complex financial products, and balancing administrative duties with client-facing activities. Learning to manage time effectively while prospecting, conducting meetings, and staying current with industry regulations can feel overwhelming at first. However, most firms provide mentorship, training, and support from more experienced team members to help new associates overcome these hurdles and develop strong professional skills.

What are the key skills and qualifications needed to thrive as an associate financial rep, and why are they important?

To thrive as an Associate Financial Representative, you need a solid grasp of financial concepts, attention to detail, and a bachelor's degree in finance, business, or a related field. Familiarity with financial planning software, CRM systems, and relevant certifications such as FINRA Series 6 or 7 is often required. Strong interpersonal skills, active listening, and professionalism help build trust and rapport with clients. These skills are crucial for delivering accurate financial advice, maintaining regulatory compliance, and fostering long-term client relationships.

What is the difference between Associate Financial Rep vs Financial Advisor?

AspectAssociate Financial RepFinancial Advisor
CredentialsSeries 6 or 7, possibly some state licensesSeries 7, 66, or 65, CFP certification often preferred
Work EnvironmentSupport role in financial firms, assisting senior repsClient-facing, providing personalized financial planning
Employer & Industry UsageUsed in brokerage firms, banks, and financial institutionsUsed across independent firms, banks, and advisory practices

The Associate Financial Rep typically supports senior financial professionals, focusing on client service and administrative tasks, while a Financial Advisor directly manages client portfolios and offers comprehensive financial planning. The roles differ mainly in responsibility level and client interaction, but they share similar licensing requirements and industry environments.

How much does an associate financial representative make?

An associate financial representative typically earns between $40,000 and $60,000 annually, with additional compensation from commissions and bonuses based on performance. Entry-level positions may start lower, while experienced reps with certifications can earn more. The role often requires strong communication skills and knowledge of financial products.

What cities are hiring for Associate Financial Rep jobs?

Cities with the most Associate Financial Rep job openings:

What are the most commonly searched types of Financial Rep jobs?

The most popular types of Financial Rep jobs are:

What states have the most Associate Financial Rep jobs?

States with the most job openings for Associate Financial Rep jobs include:

Associate Financial Rep jobs near you

Associate Financial Representative

Northwestern Mutual

Milwaukee, WI • On-site, Remote

$10/hr

Part-time

Re-posted 10 days ago

Northwestern Mutual rating

8.0

Company rating: 8.0 out of 10

Based on 75 frontline employees who took The Breakroom Quiz

166th of 310 rated insurance

Job description

Overview

A registered Associate Financial Representative (AFR) specializes in client service and processing of variable products and other securities and ensuring the maintenance of an efficient and compliant office, allowing the financial advisor to focus on building client relationships. The associate representative is a liaison between the home office, financial advisor and clients.

At the discretion of the advisor, responsibilities may also include preparing planning presentations using the PX system, processing proposals and preparing annual review paperwork. If the AFR is making suggestions or alternatives regarding the preparation of the PX plan, the AFR will require Series 7 licensing. The AFR role also includes the following responsibilities:

  • Obtain all necessary information along with specific instructions from the financial advisor for PX input (all modules including asset allocation)
  • Open PX file and provide required input for all sections and modules
  • Input each security's value and cost basis information in the corresponding account
  • Contact investment specialist or OED to classify all unclassified holdings
  • Input risk tolerance questionnaire and select customization level
  • Verify paperwork is completed correctly and relay information that is still needed to advisor
Responsibilities

Support

  • Handle case notes, processing correspondence, maintaining client case files, and filing new statements, account forms and other insurance and investment related materials
  • Maintaining financial representative's calendar, scheduling follow-up appointments
  • Responding to home office inquiries
  • Monitoring and stocking marketing materials for insurance and investment related materials
  • Ensuring NMIS and insurance compliance requirements are implemented and followed
  • Maintaining annual review notes in Envestnet and mailing annual review letters to clients*

* Can be performed if contracted as Investment Operations Staff

Proposal and Case Preparation

  • Prospecting for new advisory clients on behalf of the employing financial advisor
  • Gathering information for financial advisor's meeting with client/prospect
  • Preparing advisory annual review information
  • Preparing and modifying PPA and investment/advisory proposals
  • Preparing letter of instruction for client signature
  • Preparing investment policy statement, needs-based analysis or financial plan
  • Recommending fund portfolio options

Processing Accounts

  • Preparing and processing all paperwork needed for investment/advisory accounts
  • Identifying need for switch letter and mailing appropriate forms to clients
  • Discussing potential rollover opportunities from other retirement plans for variable and mutual funds
  • Receiving and forwarding checks and related paperwork to investment operations area
  • Processing proposal amendments in Envestnet
  • Monitoring Envestnet for alerts and upcoming annual reviews
  • Processing and monitoring funding of advisory account and asset transfers to ensure selected asset allocation is implemented*

* Can be performed if contracted as Investment Operations Staff

Client Service

  • Corresponding with clients to handle advisory related service issues
  • Formulating advisory product solutions to/for a client or explaining advisory products or advisory performance
  • Accepting redemptions/withdrawals from clients and communicating instructions to home office
  • Discussing tax consequences, costs and advisory fees with client
  • Maintaining daily tickler system for account follow-ups and service requirements
  • Performing cashiering functions
  • Running performance reports in Envestnet, Morningstar and NMCIR
Qualifications

Incumbent must be contracted as Associate Financial Representative and complete appropriate registration requirements to include:

  • Series 6 (and Series 63 in applicable states) registration allows you to work with variable annuity, variable life and mutual funds
  • Series 7 allows you to work with equities, fixed income, options, brokered CD's and US Treasuries
  • Series 65 or 66

See the NMIS Guidance to Financial Advisors on Registration of Staff.

Other Qualifications

  • Health and Life licensed or gain licensing within 6 months of employment
  • Financial Service or Insurance industry experience preferred
  • Associate Financial Representative contract required
  • Demonstrated ability to maintain effective working relationships with clients
  • Excellent oral and written communication skills
  • Able to practice active listening and communicate in a direct manner
  • Strong attention to detail with the ability to work with a high degree of accuracy
  • Ability to manage multiple diverse projects and assignments in a timely and quality manner
  • Willingness to learn
  • Ability to embrace change and work in a fast-paced environment
  • Able to work both independently and on a team
  • Ability to maintain confidentiality
  • Must have or obtain one or more of the following insurance designations: CLU, ChFC, CLTC or CFP
Pay RangeUSD $10,000.00 - USD $15,000.00 /Yr.Employment Type: PART_TIME

What Northwestern Mutual employees say

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Benefits

Hours and flexibility

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Get the full story on Breakroom

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About Northwestern Mutual

Sourced by ZipRecruiter

Northwestern Mutual has been helping families and businesses achieve financial security for over 160 years through a distinctive planning approach that integrates risk management with wealth accumulation, preservation, and distribution. With more than $290 billion in assets, $30 billion in revenues and more than $1.9 trillion worth of life insurance protection in force, Northwestern Mutual delivers financial security to more than 4.6 million clients. People are the power behind Northwestern Mutual, and diversity makes us better. We are committed to reflecting and serving the marketplace. We do so by attracting and improving the engagement of those who bring their outstanding perspectives, ideas, and beliefs.

Industry

Finance and insurance

Company size

5,001 - 10,000 Employees

Headquarters location

Milwaukee, WI, US

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