LPL Financial
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.
Job Overview 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 six‑month program offers comprehensive training on LPL’s systems and procedures, tutoring and support to obtain necessary FINRA licenses (Series 7 & 66), and coaching from our leadership team. After completing licensure and program milestones, participants graduate with the opportunity to support our growing book of clients as an Associate Financial Advisor in the Wealth Advisor Group.
Responsibilities
Licensure Testing: Pass SIE, Series 7, and Series 66 within the first 120 days of employment.
Training: Immerse in hands‑on training covering investment solutions and products, comprehensive financial planning concepts, systems and operational functions, client service, and consultative sales skills. Meet milestones and learning goals to graduate.
Customer Service: Maintain all client relationships, provide exceptional service via incoming service calls, direct client transactions, prepare client reports and forms, respond to client emails, and conduct proactive client outreach.
Book Maintenance: Work collaboratively to ensure our book of 120,000+ 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 appropriate solutions, review and maintain solutions on an ongoing basis, and speak knowledgeably on core concepts such as education, tax, estate, insurance, and investment allocation.
Investment Solutions: Utilize investment vehicles most suitable for clients, demonstrating detailed understanding of account types, investment products, and investment markets.
Consultative Sales: Meet goals in asset investment, wallet share consolidation, and relationship deepening metrics. Demonstrate 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. Proactively engage in interdepartmental collaboration to enhance processes and integrate new partnerships.
Risk Mitigation: Remain in good standing with 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? We want
strong collaborators who can deliver a world‑class client experience . We are looking for people who thrive in a
fast‑paced environment, are client‑focused, team‑oriented , and can execute in a way that encourages
creativity
and
continuous improvement . We want focused and driven individuals who can pass FINRA licensing tests and internalize our training program.
Requirements
Bachelor’s degree or equivalent
Preferences
SIE completed before start date or preferred
High integrity, detail oriented, and risk evaluation skills
Excellent communication skills, avid listener, strong business writing skills
Passion for financial services and client service
Organized with time and 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 financial advisor or delivering advice 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
Excellent PC and data input skills, ability to assist customers in a call center environment while accessing multiple PC lookup applications
Pay Range $23.42 – $39.03 per hour
Company Overview LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. We support over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodian 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.
Join LPL Financial At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation’s leading independent broker‑dealer, we offer an integrated platform of cutting‑edge technology, brokerage, and investment advisor services.
Why LPL?
Innovative Environment: We foster creativity and growth and provide a supportive and responsive leadership team.
Limitless Career Potential: Your career at LPL has no limits, only amazing potential.
Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients.
Impactful Work: Our size is just right for you to make a real impact.
Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds.
Community Focus: We care for our communities and encourage our employees to do the same.
Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both 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. Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at (855) 575-6947.
Principals only. EOE.
#J-18808-Ljbffr
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.
Job Overview 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 six‑month program offers comprehensive training on LPL’s systems and procedures, tutoring and support to obtain necessary FINRA licenses (Series 7 & 66), and coaching from our leadership team. After completing licensure and program milestones, participants graduate with the opportunity to support our growing book of clients as an Associate Financial Advisor in the Wealth Advisor Group.
Responsibilities
Licensure Testing: Pass SIE, Series 7, and Series 66 within the first 120 days of employment.
Training: Immerse in hands‑on training covering investment solutions and products, comprehensive financial planning concepts, systems and operational functions, client service, and consultative sales skills. Meet milestones and learning goals to graduate.
Customer Service: Maintain all client relationships, provide exceptional service via incoming service calls, direct client transactions, prepare client reports and forms, respond to client emails, and conduct proactive client outreach.
Book Maintenance: Work collaboratively to ensure our book of 120,000+ 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 appropriate solutions, review and maintain solutions on an ongoing basis, and speak knowledgeably on core concepts such as education, tax, estate, insurance, and investment allocation.
Investment Solutions: Utilize investment vehicles most suitable for clients, demonstrating detailed understanding of account types, investment products, and investment markets.
Consultative Sales: Meet goals in asset investment, wallet share consolidation, and relationship deepening metrics. Demonstrate 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. Proactively engage in interdepartmental collaboration to enhance processes and integrate new partnerships.
Risk Mitigation: Remain in good standing with 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? We want
strong collaborators who can deliver a world‑class client experience . We are looking for people who thrive in a
fast‑paced environment, are client‑focused, team‑oriented , and can execute in a way that encourages
creativity
and
continuous improvement . We want focused and driven individuals who can pass FINRA licensing tests and internalize our training program.
Requirements
Bachelor’s degree or equivalent
Preferences
SIE completed before start date or preferred
High integrity, detail oriented, and risk evaluation skills
Excellent communication skills, avid listener, strong business writing skills
Passion for financial services and client service
Organized with time and 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 financial advisor or delivering advice 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
Excellent PC and data input skills, ability to assist customers in a call center environment while accessing multiple PC lookup applications
Pay Range $23.42 – $39.03 per hour
Company Overview LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. We support over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodian 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.
Join LPL Financial At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation’s leading independent broker‑dealer, we offer an integrated platform of cutting‑edge technology, brokerage, and investment advisor services.
Why LPL?
Innovative Environment: We foster creativity and growth and provide a supportive and responsive leadership team.
Limitless Career Potential: Your career at LPL has no limits, only amazing potential.
Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients.
Impactful Work: Our size is just right for you to make a real impact.
Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds.
Community Focus: We care for our communities and encourage our employees to do the same.
Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both 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. Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at (855) 575-6947.
Principals only. EOE.
#J-18808-Ljbffr