Advisor Licensing Program

LPL Financial; Fort Mill, Charlotte (SC, NC); On-site; USD 31,000 - 51,000; Full time

Benefits offered by this job

401K matching

Health benefits

Employee stock options

Paid time off

Volunteer time off

Job summary

LPL Financial invites qualified applicants to join the Advisor Licensing Program, a six‑month training track designed to build foundational wealth management skills, including client relationships, financial planning, and investment solutions. The program guides licensure (SIE, Series 7, Series 66) and prepares participants to support a growing client book as an Associate Financial Advisor.

The start date for this position is 1/11/2027, with immersive coaching from leadership and hands‑on

Qualifications

• Bachelor’s degree or equivalent.
• Ability to work onsite M‑F beginning 1/11/2027.
• High integrity, detail oriented and able to mitigate risk.
• Excellent communication skills and strong business writing.

Responsibilities

• Licensure testing: pass SIE, Series 7, and Series 66 within 180 days.
• Immersive training covering investment solutions, financial planning, systems and sales skills.
• Manage client relationships, respond to inquiries, process transactions and prepare reports.
• Maintain a compliant book and deliver on client experience commitments.
• Understand financial planning concepts and investment markets to advise clients.

Skills

Client service

Communication skills

Team collaboration

Attention to detail

Education

Bachelor’s degree or equivalent

Tools

Microsoft Office

Job description

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.

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 6 month program provides a 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 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. The start date for this position is 1/11/2027.

Responsibilities

• Licensure Testing: responsible for passing SIE, Series 7, and Series 66 within 180 days.
• Training: immersive hands‑on training covering investment solutions, financial planning, systems, and sales skills; responsible for milestones and comprehension goals to graduate.
• Customer Service: manage client relationships, handle service calls, process transactions, prepare reports and forms, respond to emails, and conduct proactive outreach.
• Book Maintenance: collaborate to maintain a compliant book, ensure operational performance, and deliver on client experience commitments through check‑ins and outreach.
• Financial Planning: understand all aspects of the planning process, collect and analyze client data, develop and implement solutions, and review them continuously; speak core concepts daily.
• Investment Solutions: manage diverse investment accounts and strategies, utilize suitable investment vehicles, and understand account types, products, and markets to answer client questions.
• Consultative Sales: achieve asset investment and wallet share goals, deepen relationships, demonstrate LPL’s value, and position appropriate plans and solutions.
• Business Partnership: facilitate inter‑department communication and coordination to enhance client experience and integrate new partnerships and practices.
• Risk Mitigation: maintain compliance, assess risk through book and client analysis, and prevent fraud via security checks and conversations.

What are we looking for?

We want strong collaborators who can deliver a world‑class client experience. We are looking for people who thrive in a fast‑paced environment, are client‑focused, team‑oriented, and are able to execute in a way that encourages creativity and continuous improvement. We want focused and driven individuals who can pass FINRA licensing’s tests and internalize our training program.

Requirements

• Bachelor’s degree or equivalent
• Ability to work onsite M‑F beginning 1/11/2027
• SIE is preferred or strongly encouraged to have completed before start date
• High integrity, detail oriented and ability to evaluate and mitigate risk
• Must have 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 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
• #LI‑VF

Pay Range

Pay Range: $22.28-$37.14/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.

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(6) , LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 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. For further information about LPL, please visit www.lpl.com. 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 the LPL team and help us make a difference by turning life’s aspirations into financial realities.

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 [phone].

EAC 5.19.26

LPL Financial is the nation’s largest independent broker‑dealer.* Our company is widely known for its financial strength, exceptional service, and favorable industry reputation among financial professionals. To understand who we are, it’s important to know our core belief: financial guidance is a fundamental need for everyone. LPL Financial creates the space to let you do what you do best – create personal, long‑term client relationships that turn financial aspirations into realities. Each year, thousands of financial professionals successfully manage billions of dollars in assets. Because our company is not too big and not too small, you can seize the opportunity to make a real impact. To learn more about our organization visit our About LPL page. * As reported by Financial Planning magazine, June 1996-2019, based on total revenue.

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