Advisor Licensing Program

Job Overview

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.

Responsibilities

• Licensure Testing: Training Advisors will be responsible for passing their SIE, series 7, and series 66 within the first 120 days of employment.
• Training: Training Representatives will be immersed in a hands-on and comprehensive training which includes investment solutions and products, comprehensive financial planning concepts, systems and operational functions, client service, and consultative sales skills.
• Customer Service: Advisors are responsible for all functions of client relationship maintenance including providing an exceptional service via incoming service calls, directing client transactions, preparing necessary client reports and forms, responding to client emails, and proactive client outreach.
• Book Maintenance: Representatives will work together to ensure our book of 120,000+ clients are operationally maintained, compliant, and delivering on our client experience commitments through proactive check-ins and outreach.
• Financial Planning: Advisors should have a detailed understanding of all aspects of the financial planning process. Advisors should be effective at collecting and analyzing client data, developing and implementing appropriate solutions, as well as reviewing and maintaining those solutions on an ongoing basis.
• Investment Solutions: Clients on our book possess a very wide range of different investment accounts and strategies. Advisors have the freedom to utilize investment vehicles that are most suitable for clients. Advisors should have a detailed understanding of all account types, investment products, and investment markets in order to field questions from our diverse client base.
• Consultative Sales: Advisors will be responsible for meeting goals in asset investment, wallet share consolidation, and relationship deepening metrics. Advisors will need to be well versed in the consultative sales process in order to demonstrate the value of LPL as well as position financial plans and investment solutions that are appropriate for the client.
• 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 and practices to enhance what our team can deliver for clients.
• Risk Mitigation: Remain in good standing with various compliance requirements. Assess and mitigate risk through regular book and client analysis. Prevent fraud through security checks and client conversations.

Requirements

• Bachelor’s degree or equivalent
• SIE is preferred or strongly encouraged to have completed before start date
• High integrity, detail oriented, and ability to evaluate and mitigate risk
• Excellent communication skills, an avid listener, and strong business writing skills
• Passion for financial services and client service
• Organized with their time, and able to pass multiple FINRA licensing examinations
• Telephone service/client relationship management skills
• Previous experience as 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
• Able to assist customers in call center environment while accessing data via multiple PC lookup applications
• Must have excellent PC and data input skills

Pay Range

Pay Range: $24.51-$40.85/hour Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more.