Advisor Licensing Program

Job Overview

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. The Advisor Licensing Program provides aspiring Financial Advisors the foundational skills necessary for a successful career in wealth management including client relationship management, comprehensive financial planning, investment solutions, product implementation, financial markets and consultative selling.

The 6‑month program provides training on LPL’s systems and procedures, tutoring and support for obtaining necessary FINRA licenses (SIE, 7 & 66), and coaching from our leadership team. After completing licensure and the required milestones, participants graduate with an opportunity to support our growing book of clients as an Associate Financial Advisor. The Wealth Advisor Group provides investment solutions to mass‑affluent investors virtually and over the phone.

The advisor will examine clients’ immediate and long‑term investment needs, design solutions that best meet their financial goals, and help grow our book of 120,000 clients.

• Licensure Testing: Advisors must pass the SIE, Series 7 and Series 66 within the first 120 days of employment.
• Training: Representatives participate in hands‑on training covering investment solutions and products, comprehensive financial planning concepts, systems and operational functions, client service and consultative sales skills. They must achieve milestones and demonstrate comprehension to graduate.
• Customer Service: Advisors maintain client relationships by providing exceptional service through incoming service calls, directing client transactions, preparing client reports and forms, responding to client emails, and conducting proactive outreach.
• Book Maintenance: Representatives ensure our 120,000+ client book is operationally maintained, compliant and delivers on client‑experience commitments through proactive check‑ins and outreach.
• Financial Planning: Advisors must collect, analyze client data, develop and implement appropriate solutions, and review and maintain those solutions on an ongoing basis. They will discuss core concepts such as education, tax, estate, insurance and investment allocation daily.
• Investment Solutions: Advisors evaluate diverse account types, investment products and markets, field client questions and select suitable investment vehicles.
• Consultative Sales: Advisors meet goals in asset investment, wallet‑share consolidation and relationship‑deepening metrics, positioning financial plans and investment solutions that are appropriate for the client.
• Business Partnership: Advisors facilitate communication and coordination between departments to ensure smooth client experience and integration, proactively engaging in inter‑departmental collaboration to enhance processes and new partnerships.
• Risk Mitigation: Advisors remain in good standing with compliance requirements, assess and mitigate risk through regular book and client analysis, and prevent fraud through security checks and client conversations.

We want strong collaborators who deliver a world‑class client experience, thrive in a fast‑paced environment, are client‑focused, team‑oriented and execute creatively and continuously. Focused, driven individuals who can pass FINRA licensing tests and internalize our training program are preferred.

• Bachelor’s degree or equivalent.
• High integrity, detail oriented and ability to evaluate and mitigate risk.
• Excellent communication skills, an avid listener and strong business writing skills.
• Passion for financial services and client service.
• Organized with time and able to pass multiple FINRA licensing examinations.
• Telephone service/client relationship management skills.
• Prior financial tele‑sales, trading or call‑center service experience.
• Previous experience as a financial advisor or delivering advice and guidance to retail clients.
• Basic understanding of financial planning concepts, investment markets and account types.
• Entrepreneurial mindset, self‑starter and quick adaptation to a fast‑paced environment.
• Proficiency in Microsoft Office and web‑based applications.
• Ability to assist customers in a call‑center environment while accessing data via multiple PC lookup applications.
• Excellent PC and data input skills.

• SIE completed before start date.
• Prior experience in financial advising or related field.

$22.28–$37.14 per hour. Actual base salary varies based on relevant skill, prior experience, education and geographic location.

Equal Opportunity Employer. EOE.