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About the Role

The Advisor Licensing Program provides aspiring Financial Advisors with foundational skills in wealth management, including client relationship management, financial planning, investment solutions, and consultative selling. This 6-month program offers comprehensive training on LPL's systems and procedures, support for obtaining FINRA licenses (7&66), and leadership coaching. Upon completion, participants have the opportunity to support clients as an Associate Financial Advisor, examining needs, designing solutions, and growing the client base.

Responsibilities

Pass SIE, series 7, and series 66 within the first 120 days of employment.
Participate in comprehensive training covering investment solutions, financial planning, systems, client service, and sales skills.
Achieve training milestones and learning comprehension goals to graduate.
Manage client relationships, provide exceptional service via calls, direct transactions, prepare reports, respond to emails, and conduct proactive outreach.
Ensure operational maintenance, compliance, and client experience commitments for the client book through proactive check-ins and outreach.
Understand and apply all aspects of the financial planning process, including data collection, analysis, solution development, and ongoing maintenance.
Effectively communicate core concepts such as education, tax, estate, insurance, and investment allocation.
Utilize suitable investment vehicles, demonstrating a detailed understanding of account types, investment products, and markets.
Meet goals in asset investment, wallet share consolidation, and relationship deepening through consultative sales processes.
Facilitate communication and coordination between departments for a smooth client experience.
Engage in interdepartmental collaboration to enhance processes and integrate new partnerships.
Remain in good standing with compliance requirements.
Assess and mitigate risk through regular book and client analysis.
Prevent fraud through security checks and client conversations.

Requirements

Bachelor’s degree or equivalent.
High integrity, detail-oriented, and ability to evaluate and mitigate risk.
Excellent communication skills, avid listening, and strong business writing skills.
Passion for financial services and client service.
Organized time management and ability to pass multiple FINRA licensing examinations.
Telephone service/client relationship management skills.
Basic understanding of financial planning concepts, investment markets, and account types.
Entrepreneurial mindset, self-starter, and ability to adapt quickly to a fast-paced environment.
Proficient 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.

Skills

Client relationship management
Comprehensive financial planning
Investment solutions
Product implementation
Financial markets
Consultative selling
FINRA licensing (7&66)
Microsoft Office
Web-based applications
PC and data input

Location

Remote

Work Type

Full-time

Experience Level

Entry Level

Education Level

Bachelor's degree

Salary/Compensations

$23.42-$39.02/hour

Benefits

401K matching
Health benefits
Employee stock options
Paid time off
Volunteer time off

About the Company

LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S., supporting over 32,000 financial advisors and approximately 1,100 financial institutions. The firm services and custodies approximately $2.3 trillion in brokerage and advisory assets for approximately 8 million Americans. LPL provides a wide range of affiliation models, investment solutions, fintech tools, and practice management services, enabling advisors and institutions to choose the business model, services, and technology resources they need to run thriving businesses. Independence at LPL means advisors and institution leaders have the freedom to choose their business model, services, and technology resources, manage client relationships effectively, and run their businesses their way. LPL is committed to taking care of its advisors and institutions so they can take care of their clients.

Equal Opportunity

Principals only. EOE.