Advisor Licensing Program

lplfinancial; Houston (TX); On-site; USD 55,000 - 75,000; Full time

Job summary

LPL Financial is launching an Advisor Licensing Program to train aspiring Financial Advisors for wealth management, including licensing, comprehensive planning, and consultative selling. The program spans 6 months with tutoring, and graduates may join the Advisor Wealth Advisors Group to support a growing book of clients.

Participants will gain skills in client relationship management, financial planning concepts, and investment solutions, with coaching from leadership.

Qualifications

• Bachelor's degree or equivalent.
• SIE licensing preferred or encouraged before start date.
• Strong communication skills, listening, and business writing.
• Willingness to pass FINRA licensing tests (SIE, Series 7, Series 66).

Responsibilities

• Licensure testing: pass SIE, Series 7, and Series 66 within ~120 days.
• Hands-on training in investment solutions, financial planning, systems, and client service.
• Maintain client relationships via calls, emails, and reports; proactive outreach.

Skills

Client relationship management

FINRA licensing

Communication skills

Sales skills

Team collaboration

Education

Bachelor's degree

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 of 120,000 clients.

Responsibilities

• Licensure Testing: Training Advisors will be responsible for passing their SIE, series 7, and series 66 within the first 120 days of employment.
• Training: Training Representatives will be immersed in a hands on and comprehensive 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
• Investment Solutions : Clients on our book possess a very wide range of different investment accounts and strategies. Advisors have the freedom to utilize investment vehicles that are most suitable for clients. Advisors should have a detailed understanding of all account types, investment products, and investment markets in order to field questions from our diverse client base.
• Consultative Sales : Advisors will be responsible for meeting goals in asset investment, wallet share consolidation, and relationship deepening metrics. Advisors will need to be well versed in the consultative sales process in order to demonstrate the value of LPL as well as position financial plans and investment solutions that are appropriate for the client.
• Business Partnership : Facilitate communication and coordination between departments to ensure smooth client experience and integration. Proactively engage in interdepartmental collaboration to enhance processes and integrate new partnerships and practices to enhance what our team can deliver for clients.
• Risk Mitigation : Remain in good standing with various compliance requirements. Assess and mitigate risk through regular book and client analysis. Prevent fraud through security checks and client 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

Preferences

• 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