Advisor Licensing Program

Job Overview

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 6‑month program provides comprehensive training on LPL’s systems and procedures, tutoring and support to obtain necessary FINRA licenses (SIE, Series 7, and 66), and coaching from our leadership team.

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

• Licensure Testing:
  Pass SIE, Series 7, and Series 66 within the first 120 days of employment.
• Training:
  Complete a hands‑on and comprehensive training program that includes investment solutions, products, financial planning concepts, systems, operational functions, client service, and consultative sales skills. Meet milestones and learning comprehension goals to graduate.
• Customer Service:
  Maintain client relationships, provide exceptional service via incoming calls, direct transactions, prepare reports and forms, respond to emails, and conduct proactive outreach.
• Book Maintenance:
  Work with the team to ensure our book of 120,000+ clients is operationally maintained, compliant, and delivering on client experience commitments through proactive check‑ins and outreach.
• Financial Planning:
  Understand all aspects of the financial planning process, gather and analyze client data, develop and implement solutions, and review and maintain those solutions on an ongoing basis. Discuss core concepts such as education, tax, estate, insurance, and investment allocation daily.
• Investment Solutions:
  Utilize suitable investment vehicles for diverse client accounts and strategies. Understand all account types, investment products, and markets to field client questions.
• Consultative Sales:
  Meet goals in asset investment, wallet‑share consolidation, and relationship‑deepening metrics. Demonstrate the 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. Engage in interdepartmental collaboration to enhance processes and introduce new partnerships.
• Risk Mitigation:
  Maintain compliance with regulatory requirements, assess and mitigate risk through regular book and client analysis, and prevent fraud through security checks and conversations.

We want strong collaborators who can deliver a world‑class client experience. Thrive in a fast‑paced environment, be client‑focused, team‑oriented, and execute creatively and continuously improve. Pass FINRA licensing tests and internalize our training program.

• Bachelor’s degree or equivalent.

• SIE completed before start date (preferred).
• High integrity, detail oriented, and ability to evaluate and mitigate risk.
• Excellent communication skills, avid listener, and strong business writing skills.
• Passion for financial services and client service.
• Organized with time management and able to pass multiple FINRA examinations.
• Telephone service/client relationship management skills.
• Prior experience in financial telesales, trading or call‑center service.
• Previous experience as a financial advisor or delivering advice and guidance 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…