Advisor Licensing Program

LPL Financial; Houston (TX); On-site; USD 30,307 - 50,971; Full time

Benefits offered by this job

401(k) matching

Health benefits

Employee stock options

Paid time off

Volunteer time off

Job summary

LPL Financial in Houston is hiring for its Advisor Licensing Program. Trainees will complete a 6-month program to obtain FINRA licenses (SIE, 7, 66) and receive coaching from leadership while learning wealth management fundamentals.

Graduates may join as an Associate Financial Advisor, helping clients design solutions and grow a book of business, while building skills in planning, investment solutions and client service.

Qualifications

• Bachelor’s degree or equivalent.
• Completed SIE preferred or strongly encouraged before start date.
• Strong integrity, detail oriented, and ability to evaluate and mitigate risk.
• Excellent communication skills, avid listener, 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 experience.
• Previous experience as financial advisor or delivering advice to retail clients.
• Basic understanding of financial planning concepts, investment markets and account types.
• Entrepreneurial mindset, self‑starter, quick to adapt to 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; excellent PC and data input skills.

Responsibilities

• Licensure testing: pass SIE, Series 7, and Series 66 within 120 days.
• Training: hands-on training covering investment solutions, financial planning concepts, systems and sales skills.
• Customer service: maintain client relationships and respond to emails.
• Book maintenance: manage book of 120,000+ clients and ensure client experience.
• Financial planning: collect data, develop and implement solutions across education, tax, estate, insurance and investment allocation.
• Investment solutions: understand accounts, investment products and markets.
• Consultative sales: meet asset investment and wallet share goals.
• Business partnership: coordinate between departments for smooth client experience.
• Risk mitigation: stay compliant and mitigate risk.

Education

Bachelor’s degree or equivalent

Job description

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 comprehensive training on LPL’s systems and procedures, tutoring and support to obtain necessary FINRA licenses (SIE, 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 associate 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: Responsible for passing SIE, Series 7, and Series 66 within the first 120 days of employment.
• Training: Immersed in a hands‑on comprehensive training covering investment solutions and products, financial planning concepts, systems and operational functions, client service, and consultative sales skills. Responsible for achieving milestones and learning comprehension goals to graduate.
• Customer Service: Maintain all functions of client relationships, provide exceptional service via incoming service calls, direct client transactions, prepare necessary client reports and forms, respond to client emails, and proactive client outreach.
• Book Maintenance: Ensure the book of 120,000+ clients is operationally maintained, compliant, and delivers on client experience commitments through proactive check‑ins and outreach.
• Financial Planning: Effectively collect and analyze client data, develop and implement appropriate solutions, and review maintenance of those solutions. Should be knowledgeable on core concepts such as education, tax, estate, insurance and investment allocation.
• Investment Solutions: Utilize appropriate investment vehicles; understand account types, investment products and markets to field client questions.
• Consultative Sales: Meet goals in asset investment, wallet share consolidation, and relationship deepening metrics; understand consultative sales process to demonstrate LPL value and position appropriate financial plans.
• Business Partnership: Facilitate communication and coordination between departments to ensure smooth client experience and integration.
• Risk Mitigation: Remain in good standing with compliance requirements, assess and mitigate risk through regular book and client analysis, prevent fraud via security checks and client conversations.

What we’re looking for

Strong collaborators who can deliver a world‑class client experience. Thrive in a fast‑paced, client‑focused, team‑oriented environment and execute in a way that encourages creativity and continuous improvement. Focused and driven individuals who can pass FINRA licensing tests and internalize our training program.

Requirements

• Bachelor’s degree or equivalent.

Preferences

• Completed SIE preferred or strongly encouraged before start date.
• High integrity, detail oriented, and ability to evaluate and mitigate risk.
• Excellent communication skills, avid listener, 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 experience.
• Previous experience as financial advisor or delivering advice to retail clients.
• Basic understanding of financial planning concepts, investment markets and account types.
• Entrepreneurial mindset, self‑starter, quick to adapt to 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; excellent PC and data input skills.

Pay Range

$22.28‑$37.14 per hour. Actual base salary varies based on factors including skill, experience, education, internal peers and geographic location. LPL’s Total Rewards package includes 401(k) matching, health benefits, employee stock options, paid time off, volunteer time off and more.

Equal Opportunity Employer

EOE. We believe in diversity and inclusion. All qualified applicants will receive consideration.