Financial Advisor Licensing & Training 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

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.