Advisor Licensing Program

About the role

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 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 the required FINRA licenses (Series 7 & 66), and coaching from our leadership team. After completing licensure and program milestones, participants graduate with an opportunity to support our growing book of clients as an Associate Financial Advisor.

Responsibilities

• Licensure Testing – Pass the SIE, Series 7, and Series 66 within the first 120 days of employment.
• Training – Participate in hands‑on, comprehensive training covering investment solutions, financial planning concepts, systems, operational functions, client service, and consultative sales skills; achieve milestones and learning goals to graduate.
• Customer Service – Provide exceptional service via incoming calls, direct client transactions, prepare reports and forms, respond to emails, and conduct proactive outreach.
• Book Maintenance – Ensure the 120,000+ client book 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 solutions, and review/maintain those solutions; speak knowledgeably to education, tax, estate, insurance, and investment allocation concepts daily.
• Investment Solutions – Utilize appropriate investment vehicles for a wide range of account types and strategies; possess detailed knowledge of products and markets to address client questions.
• Consultative Sales – Meet goals for asset investment, wallet‑share consolidation, and relationship deepening; demonstrate LPL’s value and position suitable financial plans and investment solutions.
• Business Partnership – Facilitate communication and coordination between departments, engage in interdepartmental collaboration, and integrate new partnerships to enhance client delivery.
• Risk Mitigation – Remain in good standing with compliance requirements, assess and mitigate risk through regular book and client analysis, and prevent fraud via security checks and client conversations.

Requirements

• Bachelor’s degree or equivalent.

Preferences

• SIE is preferred or strongly encouraged to have been completed before the start date.
• High integrity, detail‑oriented, and ability to evaluate and mitigate risk.
• Excellent communication skills, avid listening, and strong business writing.
• Passion for financial services and client service.
• Organized with time management; 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 a financial advisor or delivering advice to retail clients.
• Basic understanding of financial planning concepts, investment markets, and account types.
• Entrepreneurial mindset, self‑starter, and ability to 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.

Pay

$22.28‑$37.14 per hour. Actual base salary varies based on factors such as relevant skill, prior experience, education, internal peer salaries, demonstrated performance, and geographic location.

Benefits

• 401(k) matching
• Health benefits
• Employee stock options
• Paid time off
• Volunteer time off
• Additional competitive Total Rewards offerings

Company Overview

LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest‑growing wealth‑management firms in the United States. As a leader in the financial‑advisor‑mediated marketplace, LPL supports over 32,000 financial advisors and the wealth‑management practices of approximately 1,100 financial institutions, servicing and custodying roughly $2.3 trillion in brokerage and advisory assets on behalf of about 8 million Americans. The firm provides a wide range of advisor‑affiliation models, investment solutions, fintech tools, and practice‑management services, ensuring advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses.