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Broker Dealer Transition Jobs (NOW HIRING)

LPL Financial

Transition Support Partner

OR · On-site +1

$30.70 - $51.15/hr

Your top priority will be to ensure the advisor/firm has a seamless transition from their prior broker dealer to LPL. Responsibilities: * Consult with prospective advisors to understand the unique ...

Cetera

Transitions Partner, Concierge

Dallas, TX · Hybrid

$15.25 - $19.75/hr

Ensure comfortable transition with the broker-dealer support teams upon completion of the transition. * Execute of transition plan for the efficient and effective transition of accounts. * Effective ...

Cetera

Transitions Partner, Concierge

Dallas, TX · Hybrid

$15.25 - $19.75/hr

Ensure comfortable transition with the broker-dealer support teams upon completion of the transition. * Execute of transition plan for the efficient and effective transition of accounts. * Effective ...

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Broker Dealer Transition information

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$29.5K

$46.5K

$65.5K

How much do broker dealer transition jobs pay per year?

As of Sep 2, 2026, the average yearly pay for broker dealer transition in the United States is $46,480.00, according to ZipRecruiter salary data. Most workers in this role earn between $32,000.00 and $56,000.00 per year, depending on experience, location, and employer.

What is the difference between Broker Dealer Transition vs Registered Representative?

AspectBroker Dealer TransitionRegistered Representative
CertificationsSeries 7, Series 63/66, licensing for transitionSeries 7, Series 63/66, licensing required
Work EnvironmentInvolves firm changes, compliance, onboardingClient-facing sales, trading, and advisory roles
Employer & Industry UsageUsed during firm mergers, acquisitions, or transitionsEmployed by broker-dealers to sell securities
Search & Comparison IntentUnderstanding transition processes, career movesSales roles, licensing, client interaction

Broker Dealer Transition refers to the process of moving from one broker-dealer firm to another, often involving licensing and compliance steps. A Registered Representative is an individual licensed to sell securities and work directly with clients. While both roles require similar certifications, the transition focuses on firm changes, whereas the Registered Representative role emphasizes client sales and advisory services.

More about Broker Dealer Transition jobs

What cities are hiring for Broker Dealer Transition jobs?

Cities with the most Broker Dealer Transition job openings:

What states have the most Broker Dealer Transition jobs?

States with the most job openings for Broker Dealer Transition jobs include:

What job categories do people searching Broker Dealer Transition jobs look for?

The top searched job categories for Broker Dealer Transition jobs are:

Broker Dealer Transition jobs near you
Infographic showing various Broker Dealer Transition job openings in the United States as of August 2026, with employment types broken down into 1% As Needed, 85% Full Time, 10% Part Time, 1% Temporary, and 3% Contract. Highlights an 89% Physical, 3% Hybrid, and 8% Remote job distribution, with an average salary of $46,480 per year, or $22.3 per hour.

Transition Support Partner

LPL Financial

OR • On-site, Remote

$30.70 - $51.15/hr

Full-time

Medical, Retirement, PTO

Posted 26 days ago

LPL Financial rating

7.2

Company rating: 7.2 out of 10

Based on 74 frontline employees who took The Breakroom Quiz

128th of 152 rated financial services

Job description

Where Ambition Meets Innovation

Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you'll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals.

Job Overview:
As the Transition Support Partner (TSP) in Business Transitions, you will lead transitions for all business lines and channels. As the subject matter expert on LPL's core technology, operational processes and best practices, you will provide training and education specific to the advisor's unique needs. Your top priority will be to ensure the advisor/firm has a seamless transition from their prior broker dealer to LPL.


Responsibilities:

  • Consult with prospective advisors to understand the unique structure of the business transitioning to LPL and devise a strategy to effectively transition the book of business. Engage various departments throughout the firm as subject matter experts where needed.

  • Leverage appropriate tools to facilitate in-depth training on all LPL technology with the goal of preparing the prospective advisor (and staff) to effectively operate our technology upon license transfer to LPL. The training focuses on three key elements: basic operational needs such as opening new accounts, transferring of assets and once established, maintaining accounts with the goal of growing the advisor's business.

  • Provide repapering support to aid new advisors in moving their book of business to LPL. This could include data entry for the purpose of establishing an account, thorough tracking of the opening and funding of accounts as well as the proper setup of additional account details such as check writing, and the management of notifications related to the movement of the advisor's book of business.

  • Ultimately, the go-to person for the advisor throughout the transition. You will be expected to navigate issues by leveraging critical thinking and problem-solving skills and know when to engage management for additional support when needed.

  • Discuss technology needs of the advisor and provide additional training on LPL proprietary premium products and third-party tools, as necessary.

  • Support the execution of department projects and initiatives, as necessary.

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.

Requirements:

  • 2+ years of experience in financial services and/or client-facing role is required

  • Must be able to travel up to 50-60% of the time

Core Competencies:

  • Strong listening skills with a focus on understanding each advisor's unique needs

  • Ability to communicate effectively with colleagues, leadership, field recruiting professionals and internal recruiters

  • Exceptional interpersonal skills with a strong ability to build trust and respect quickly in a client-facing role

  • Expertise in various lines of the business - wirehouse, regional, independent, RIA, institutions and retirement plans

  • Previous travel experience preferred

  • Adaptable, quick learners who can jump in with limited training

  • Proficient webinar host with outstanding presentation skills

  • Proactive, critical thinker with professional maturity who can self-manage

  • Experience with Microsoft products (Word, Excel, PowerPoint and Outlook), Salesforce

Preferences:

  • 1+ year of training, business consulting, or practice management expertise in the investment services space preferred

  • Bachelor's degree in Finance, Business, Economics, or related field preferred

  • Series 7 and 63, 65 or 66 preferred


Pay Range:

$30.70-$51.15/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!

Company Overview:

LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace(6) , LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses. For further information about LPL, please visit www.lpl.com.


At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.


For further information about LPL, please visit www.lpl.com.


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.comemail 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.


EAC 5.19.26

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