Advisor Licensing Program bei LPL Financial

What if you could build a career where ambition meets innovation? At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence. What if you could have access to cutting-edge resources, a collaborative environment, and the freedom to make an impact? If you're ready to take the next step, discover what’s possible with LPL Financial.

Job Overview:

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 program provides comprehensive training on LPL’s systems and procedures, tutoring and support to obtain necessary FINRA licenses (7 & 66), and coaching from our leadership team. 

After completing licensure and necessary milestones throughout the program, program participants will graduate with an opportunity to support our growing book of clients as an Associate Financial Advisor. The Advisor of the Wealth Advisors Group (Wealth AG) is a group of corporate employee advisors who provide investment solutions to mass affluent investors virtually and over the phone. The advisor will examine clients immediate and long-term investment needs, help design solutions that best meet their individual financial goals and help grow our book of 120,000 clients.

Responsibilities:

• Licensure Testing: Training Advisors must pass the SIE, Series 7, and Series 66 exams, with no more than two attempts per exam, within a timeframe of up to six months from their start date.

• Training: Training Representatives will be immersed in hands-on training which includes investment solutions and products, comprehensive financial planning concepts, systems and operational functions, client service, and consultative sales skills. Training Representatives will be responsible for achieving milestones and learning comprehension goals to graduate.

• Customer Service: Advisors are responsible for all functions of client relationship maintained including providing an exceptional service via incoming service calls, directing client transactions, preparing necessary client reports and forms, responding to client emails and proactive client outreach.

• Book Maintenance: Representatives will work together to ensure our book of 120,000+ are operationally maintained, compliant, and delivering on our client experience commitments through proactive check-ins and outreach.

• Financial Planning: Advisors should have a detailed understanding of all aspects of the financial planning process. Advisors should be effective at collecting and analyzing client data, developing and implementing appropriate solutions, as well as reviewing and maintaining those solutions on an ongoing basis. Advisors will need to knowledgably speak to core concepts such as education, tax, estate, insurance and investment allocation on a daily basis.

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:

• Associate or Bachelor's degree from an accredited institution

• 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 their time, and able to pass multiple FINRA licensing examinations

Core Competencies:

• Ability to work independently and effectively to meet deadlines, including the ability to effectively assess, prioritize and manage shifting responsibilities.

• Strong MS Office skills including Word, Excel, PowerPoint and Outlook and aptitude to quickly learn new systems.  Experience with legal technology a plus.

• Ability to interact and communicate across all business lines, and with internal and external customers.

Preferences:

• SIE is preferred or strongly encouraged to have completed before start date

• Telephone service / client relationship management skills

• Prior financial tele-sales, trading or call center service experience

• Previous experience as financial advisor or delivering advice and guidance to retail clients

• Basic understanding of financial planning concepts, investment markets, and account types

• Entrepreneurial mind set, self-starter and quickly adapt to a fast-paced environment

• Proficient in Microsoft Office and web-based applications

• Ability to assist customers in call center environment while accessing data via multiple PC lookup applications. Must have excellent PC and data input skills

 

Pay Range:

$21.63-$36.06/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. LPL supports over 29,000 financial advisors and the wealth-management practices of 1,100 financial institution, servicing and custodying approximately $1.9 trillion in brokerage and advisory assets on behalf of approximately 7 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.

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 LPL Financial: Where Your Potential Meets Opportunity

At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation’s leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services.

Why LPL?

• Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here!

• Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here!

• Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients. Learn more about our mission and values here!

• Impactful Work: Our size is just right for you to make a real impact. Learn more here!

• Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here!

• Community Focus: We care for our communities and encourage our employees to do the same. Learn more here!

• Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here!

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.com email 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.

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