LPL Financial
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.
Responsibilities
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.
What are we looking for? 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.
Requirements
Bachelor’s degree or equivalent.
Preferences
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 assist customers in a call‑center environment while accessing data via multiple PC lookup applications; excellent PC and data input skills.
Pay Range $21.63‑$36.06/hour Actual base salary varies based on relevant skill, prior experience, education, peer comparisons, performance, and geographic location. LPL Total Rewards includes 401(k) matching, health benefits, employee stock options, paid time off, volunteer time off, and more.
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, LPL supports over 32,000 financial advisors and the 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. For further information about LPL, please visit www.lpl.com.
Why LPL
Innovative Environment: Foster creativity and growth with a supportive leadership team.
Limitless Career Potential: No limits on your career at LPL.
Unified Mission: One team on one mission—taking care of our advisors so they can take care of their clients.
Impactful Work: Size allows you to make a real impact.
Commitment to Equality: Support workplace equality and embrace diverse perspectives.
Community Focus: Encourage employee community involvement.
Benefits and Total Rewards: A mix of traditional and unique benefits, perks, and resources to enhance life at work and at home.
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. For questions about the application process, contact LPL’s Human Resources Solutions Center at (855) 575-6947. EOE.
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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.
Responsibilities
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.
What are we looking for? 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.
Requirements
Bachelor’s degree or equivalent.
Preferences
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 assist customers in a call‑center environment while accessing data via multiple PC lookup applications; excellent PC and data input skills.
Pay Range $21.63‑$36.06/hour Actual base salary varies based on relevant skill, prior experience, education, peer comparisons, performance, and geographic location. LPL Total Rewards includes 401(k) matching, health benefits, employee stock options, paid time off, volunteer time off, and more.
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, LPL supports over 32,000 financial advisors and the 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. For further information about LPL, please visit www.lpl.com.
Why LPL
Innovative Environment: Foster creativity and growth with a supportive leadership team.
Limitless Career Potential: No limits on your career at LPL.
Unified Mission: One team on one mission—taking care of our advisors so they can take care of their clients.
Impactful Work: Size allows you to make a real impact.
Commitment to Equality: Support workplace equality and embrace diverse perspectives.
Community Focus: Encourage employee community involvement.
Benefits and Total Rewards: A mix of traditional and unique benefits, perks, and resources to enhance life at work and at home.
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. For questions about the application process, contact LPL’s Human Resources Solutions Center at (855) 575-6947. EOE.
#J-18808-Ljbffr