Advisor Licensing Program

Responsibilities

• Licensure Testing: Training Advisors will be responsible for passing their SIE, series 7, and series 66 within the first 120 days of employment.
• Book Maintenance : Representatives will work together to ensure our book of 120,000+ are operationally maintained, compliant, and delivering on our client experience commitments through proactive check ins and outreach.
• 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.
• What are we looking for?

Requirements

• Bachelor's degree or equivalent
• Preferences:
• SIE is preferred or strongly encouraged to have completed before start date
• High integrity, detail oriented and ability to evaluate and mitigate risk
• Must have excellent communication skills, an avid listener, and strong business writing skills
• Passion for financial services and client service

Additional Information

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. 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. The 6 month program provides a comprehensive training on LPL's systems and procedures, tutoring and support to obtain necessary FINRA licenses (7&66), and coaching from our leadership team. After completing licensure and necessary milestones throughout the program, program participants will graduate with an opportunity to support our growing book of clients as an Associate Financial Advisor. The Advisor of the Wealth Advisor Group is a group of corporate employee advisors who provide investment solutions to mass affluent investors virtually and over the phone. The advisor will examine clients immediate and long term investment needs, help design solutions that best meet their individual financial goals and help grow our book of 120,000 clients.

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