Senior Registered Client Service Associate

If you've built your career as a Client Associate or Client Service Associate at a wirehouse, you know this work better than almost anyone. The best partnerships in this business are between one advisor and one associate who trust each other completely. I spent 12 years as an advisor at Morgan Stanley before moving to LPL Financial in 2026, and I'm looking for that kind of partner: an experienced professional who wants their judgment trusted, their work respected, and a role worth staying in.

About Icaria Wealth Management

Icaria Wealth Management is a wealth management practice in Montecito, serving clients through LPL Financial. I founded Icaria to serve families the way I believe they should be served: with more time, more attention, and advice built around each client's goals. We help clients build long-term financial security through straightforward ownership of quality companies and proactive financial planning, with clear, transparent strategies that support them through each chapter of their financial lives.

The firm is named for Ikaria, the Greek island known as one of the world's Blue Zones, where people live long, unhurried, well-connected lives. That idea shapes how we work. We plan for the long term, invest with patience, and build relationships meant to last for decades and across generations of a family. The practice is supported by LPL Financial's platform, custody, and compliance infrastructure. We value integrity, professionalism, and a client-centered approach in every interaction.

Our Clients

We serve a select group of families, business owners, and retirees. They value discretion, consistency, and a calm, well-informed voice when markets or life get noisy. They expect accuracy, a prompt response, and someone who knows their names and their story. You will know every household you serve.

The Role

The Senior Registered Client Associate is a full-time, hybrid role in our Montecito office, with regular weekday hours. You will be the operational anchor of the practice and a trusted point of contact for clients, working directly with me day to day.

You will:

•Own new account opening, transfers (ACATs), money movement, and service requests from start to finish

• Be a warm, knowledgeable voice for our clients: respond to their requests, see each one through, and follow up proactively so they always know where things stand

• Accept trade instructions within the scope of your registration and firm policy

• Prepare meeting materials and help coordinate client meetings

• Keep client records and our CRM accurate and current, and track action items to completion

• Work with LPL operations, custodians, other financial institutions, and clients' CPAs and estate attorneys

• Ensure all activity complies with regulatory requirements and firm policies

• Set the service standards and operational processes for the practice, drawing on your years of experience

Why Join Us

This is a role for someone who has already proven themselves and wants that experience to count. You'll support one advisor, not a rotating list. You'll work directly with me, and your judgment will shape how the practice runs. Your focus will be on service and accuracy, not production metrics.

Qualifications

• 15+ years as a Client Associate or Client Service Associate at a wirehouse (Morgan Stanley, Merrill, UBS, Wells Fargo, J.P. Morgan) or a comparable firm

• Outstanding client service and people skills: warm, patient, and an exceptional communicator who puts clients at ease and leaves every conversation with them feeling well cared for

• Active FINRA Series 7 and Series 66 (or 63), or registrations within the two-year window since your last firm; a California Life/Health license is a plus

• Deep, hands-on command of account opening, ACATs, money movement, and advisory paperwork, including complex and unusual account types

• Exceptional attention to detail, strong organizational skills, and the ability to manage multiple tasks and deadlines

• Discreet and composed under pressure, with clear and professional written and verbal communication

• You run the operation with confidence: you anticipate what's needed and see it through

• Demonstrated commitment to ethical standards, confidentiality, and a client-first mindset

• Proficient with CRM systems, custodian platforms, Excel, Word, and Outlook

Compensation

Base salary of $90,000–$120,000 depending on experience, plus a discretionary bonus.

Health insurance, 401(k), PTO, registration/CE costs

Please Note

Candidates may not bring or share any client lists, documents, or data from a current or former employer.

Icaria Wealth Management is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, sexual orientation, gender identity or expression, national origin, ancestry, age, disability, medical condition, genetic information, marital status, veteran status, or any other characteristic protected by law. We will provide reasonable accommodations to applicants with disabilities upon request.

We will consider qualified applicants with arrest and conviction records in accordance with the California Fair Chance Act and applicable FINRA registration requirements.

Securities and advisory services offered through LPL Financial, a registered investment advisor, Member FINRA/SIPC.