Advisor Licensing Program

About the Role

The Advisor Licensing Program provides aspiring Financial Advisors with foundational skills in wealth management, including client relationship management, comprehensive financial planning, investment solutions, product implementation, financial markets, and consultative selling. This 6-month program offers training on LPL's systems, support for obtaining FINRA licenses (7 & 66), and coaching from the leadership team. Upon completion, participants have the opportunity to support LPL's client base as an Associate Financial Advisor. The Wealth Advisors Group, comprised of corporate employee advisors, provides investment solutions to mass affluent investors virtually and over the phone.

Key Responsibilities

• Licensure Testing: Pass SIE, Series 7, and Series 66 within the first 120 days of employment.
• Training: Engage in comprehensive, hands-on training covering investment solutions and products, financial planning concepts, systems and operational functions, client service, and consultative sales skills. Achieve learning comprehension goals to graduate.
• Customer Service: Manage all aspects of client relationships, provide exceptional service via incoming calls, direct client transactions, prepare client reports and forms, respond to emails, and conduct proactive client outreach.
• Book Maintenance: Ensure the client book is operationally maintained, compliant, and meets client experience commitments through proactive check-ins and outreach.
• Financial Planning: Develop a detailed understanding of the financial planning process, including collecting and analyzing client data, developing and implementing solutions, and ongoing review. Effectively discuss core concepts such as education, tax, estate, insurance, and investment allocation.
• Investment Solutions: Utilize suitable investment vehicles for clients with diverse investment accounts and strategies. Understand all account types, investment products, and investment markets to address client inquiries.
• Consultative Sales: Meet goals for asset investment, wallet share consolidation, and relationship deepening. Demonstrate LPL's value and position appropriate financial plans and investment solutions.
• Business Partnership: Facilitate communication and coordination between departments for a smooth client experience. Engage in interdepartmental collaboration to enhance processes and integrate new partnerships.
• Risk Mitigation: Maintain good standing with compliance requirements. Assess and mitigate risk through regular client analysis. Prevent fraud through security checks and client conversations.

Requirements & Tech Stack

• 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 and able to pass multiple FINRA licensing examinations.
• Telephone service/client relationship management skills.
• 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.

Qualifications

• SIE is preferred or strongly encouraged to have completed before the start date.
• 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 ability to adapt to a fast-paced environment.

Pay Range

$23.42-$39.02/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.