Advisor Licensing Program: Series 7 & 66 Ready

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

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.