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 Advisors Group (Wealth AG) 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.

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 hands-on training which includes investment solutions and products, comprehensive financial planning concepts, systems and operational functions, client service, and consultative sales skills. Training Representatives will be responsible for achieving milestones and learning comprehension goals to graduate.
• Customer Service: Advisors are responsible for all functions of client relationship maintained 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+ 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. Advisors will need to knowledgably speak to core concepts such as education, tax, estate, insurance and investment allocation on a daily 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.

What are we looking for?

We’re looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.

Requirements:

• Bachelor’s degree or equivalent
• 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

Core Competencies:

• Ability to work independently and effectively to meet deadlines, including the ability to effectively assess, prioritize and manage shifting responsibilities.
• Strong MS Office skills including Word, Excel, PowerPoint and Outlook and aptitude to quickly learn new systems. Experience with legal technology a plus.
• Ability to interact and communicate across all business lines, and with internal and external customers.

Preferences:

• SIE is preferred or strongly encouraged to have completed before start date
• Telephone service/ client relationship management skills
• Prior financial tele-sales, trading or call center service experience
• 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 mind set, self-starter and quickly adapt to a fast-paced environment
• Proficient in Microsoft Office and web-based applications
• Ability to assist customers in call center environment while accessing data via multiple PC lookup applications. Must have excellent PC and data input skills

Priority Application Date: September 21 at 11:59 PM PST   

PLEASE NOTE: This role follows a priority application approach. Candidates who apply by this date will receive priority consideration, and we anticipate that most hiring decisions will be made following the priority application date. Candidates are encouraged to apply early, as applications will be reviewed on a rolling basis.   

Disclaimer for international students:    

• At this time, for our early career program positions, we’re unable to consider candidates who require sponsorship now or in the future. For other positions, within LPL it will depend on the specific position.   
• You will be responsible for obtaining and providing to LPL the required I-9 documentation as part of our onboarding process.   
• Positions offered are for full-time work at 40 hours per week.    
• Please consult your Designated School Official to confirm your eligibility with your school ability prior to applying.   

Pay Range:

Company Overview:

LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace(6) , LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses. For further information about LPL, please visit www.lpl.com.

At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.

For further information about LPL, please visit www.lpl.com.

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.

Information on Interviews:

LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum.  During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card.  Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at (855) 575-6947.

EAC 5.19.26