Advisor Licensing Program

What if you could build a career where ambition meets innovation? At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence.
What if you could have access to cutting‑edge resources, a collaborative environment, and the freedom to make an impact? If you’re ready to take the next step, discover what’s possible with LPL Financial.

The Advisor Licensing Program provides aspiring Financial Advisors with 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 six‑month program offers comprehensive training on LPL’s systems and procedures, tutoring and support to obtain necessary FINRA licenses (Series 7 & 66), and coaching from our leadership team.

After completing licensure and program milestones, participants graduate with the opportunity to support our growing book of clients as an Associate Financial Advisor in the Wealth Advisor Group.

• Licensure Testing:
  Pass SIE, Series 7, and Series 66 within the first 120 days of employment.
• Training:
  Immerse in hands‑on training covering investment solutions and products, comprehensive financial planning concepts, systems and operational functions, client service, and consultative sales skills. Meet milestones and learning goals to graduate.
• Customer Service:
  Maintain all client relationships, provide exceptional service via incoming service calls, direct client transactions, prepare client reports and forms, respond to client emails, and conduct proactive client outreach.
• Book Maintenance:
  Work collaboratively to ensure our book of 120,000+ is operationally maintained, compliant, and delivers on client experience commitments through proactive check‑ins and outreach.
• Financial Planning:
  Collect and analyze client data, develop and implement appropriate solutions, review and maintain solutions on an ongoing basis, and speak knowledgeably on core concepts such as education, tax, estate, insurance, and investment allocation.
• Investment Solutions:
  Utilize investment vehicles most suitable for clients, demonstrating detailed understanding of account types, investment products, and investment markets.
• Consultative Sales:
  Meet goals in asset investment, wallet share consolidation, and relationship deepening metrics. Demonstrate value of LPL and position appropriate financial plans and investment solutions.
• 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.
• Risk Mitigation:
  Remain in good standing with compliance requirements. Assess and mitigate risk through regular book and client analysis. Prevent fraud through security checks and client conversations.

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 can execute in a way that encourages creativity and continuous improvement
. We want focused and driven individuals who can pass FINRA licensing tests and internalize our training program.

• Bachelor’s degree or equivalent

• SIE completed before start date or preferred
• High integrity, detail oriented, and risk evaluation skills
• 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 service 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, and quickly adapt to a fast‑paced environment
• Proficient in Microsoft…