Advisor Licensing Program

LPL Financial LLC; 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 LLC invites aspiring Financial Advisors to join its Advisor Licensing Program in Houston. This six-month training prepares you for FINRA licensing (Series 7 & 66) and builds essential client relationship and financial planning skills to support a growing book of clients as an Associate Financial Advisor.

Tested through hands-on training, you will gain exposure to investment solutions, comprehensive planning concepts, and system procedures while receiving coaching from leadership.

Qualifications

• Bachelor’s degree or equivalent is required.
• SIE is preferred or encouraged to have completed before start date.
• High integrity, detail oriented, able to evaluate and mitigate risk.
• Excellent communication skills—oral and written.
• Passion for financial services and client service.
• Organized time management and ability to pass multiple FINRA licensing examinations.
• Telephone service / client relationship management skills.
• Experience as a financial advisor or giving advice to retail clients.
• Basic understanding of financial planning concepts, investment markets and account types.
• Entrepreneurial mindset and ability to adapt to a fast-paced environment.

Responsibilities

• Licensure Testing – pass SIE, Series 7 and Series 66 within the first 120 days.
• Training – complete hands-on training covering investment solutions and financial planning concepts; meet milestones.
• Customer Service – maintain client relationships by handling calls, emails, and client reports.
• Book Maintenance – ensure the operational status of the client book and deliver client experience commitments.
• Financial Planning – collect and analyze client data and develop solutions.
• Investment Solutions – manage client accounts and investment products.
• Consultative Sales – meet asset-investment and relationship metrics.
• Business Partnership – coordinate between departments for seamless client experience.
• Risk Mitigation – comply with regulatory requirements and mitigate risk.

Skills

Strong communication

Detail oriented

Time management

Client service

Telephone service

Education

Bachelor's degree or equivalent

Tools

Microsoft Office

Web-based applications

Job description

Job Overview

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.

The Advisor Licensing Program provides aspiring Financial Advisors with 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 offers comprehensive training on LPL’s systems and procedures, tutoring and support to obtain the necessary FINRA licenses (Series 7 & 66), and coaching from our leadership team. After completion, participants graduate with an opportunity to support our growing book of clients as an Associate Financial Advisor.

Responsibilities

• Licensure Testing – pass SIE, Series 7 and Series 66 within the first 120 days.
• Training – complete hands-on training covering investment solutions, comprehensive financial planning concepts, systems and operational functions, client service, and consultative sales; meet milestones and comprehension goals to graduate.
• Customer Service – maintain client relationships by handling incoming calls, directing transactions, preparing client reports and forms, responding to emails, and proactive outreach.
• Book Maintenance – ensure the operational, compliant status of our 120,000+ client book and deliver on client experience commitments.
• Financial Planning – collect and analyze client data, develop and implement appropriate solutions, and review those solutions on an ongoing basis; speak to core concepts such as education, tax, estate, insurance and investment allocation.
• Investment Solutions – manage diverse client accounts and strategies using suitable vehicles; understand account types, investment products and markets to field questions.
• Consultative Sales – meet asset-investment, wallet-share consolidation and relationship-deepening metrics; demonstrate LPL value and position financial plans and solutions.
• Business Partnership – facilitate communication and coordination between departments to ensure seamless client experience and process integration.
• Risk Mitigation – maintain good standing with compliance requirements, assess and mitigate risk through regular book and client analysis, and prevent fraud through security checks and client conversations.

Requirements

• Bachelor’s degree or equivalent.
• SIE is preferred or strongly encouraged to have completed before start date.
• High integrity, detail oriented and ability to evaluate and mitigate risk.
• Excellent communication skills – avid listener and strong business writing.
• Passion for financial services and client service.
• Organized time management and ability to pass multiple FINRA licensing examinations.
• Telephone service / client relationship management skills.
• Previous experience as a financial advisor or providing advice to retail clients.
• Basic understanding of financial planning concepts, investment markets and account types.
• Entrepreneurial mindset, self-starter and quickly adapt to a fast-paced environment.
• 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.

Preferences

• Pre-completed SIE license.
• Experience in financial tele-sales, trading or call-center service.

Compensation and Benefits

Pay Range: $22.28-$37.14 per hour. Salary varies based on factors such as skill, experience, education, performance, and location. LPL Total Rewards package includes 401(k) matching, health benefits, employee stock options, paid time off, volunteer time off, and more.

Equal Opportunity Employer.