Advisor Licensing Program

LPL Financial•Charlotte, NC

1d•Onsite

About The Position

The Advisor Licensing Program is a six-month training program that prepares aspiring Financial Advisors for a career in wealth management. Participants build foundational skills in client relationship management, financial planning, investment solutions, product implementation, financial markets, and consultative selling. The program includes training on LPL systems and procedures, tutoring and support to obtain FINRA licenses, and coaching from the leadership team. Participants must complete licensure and program milestones to graduate, with an opportunity to support LPL’s growing client book as an Associate Financial Advisor. The Wealth Advisors Group is made up of corporate employee advisors who provide investment solutions to mass-affluent investors virtually and over the phone. Advisors assess clients’ immediate and long-term investment needs, develop solutions aligned with their financial goals, and help grow the client book. The position begins January 11, 2027, and requires onsite work Monday through Friday.

Requirements

Bachelor’s degree or equivalent.
Ability to work onsite Monday through Friday beginning January 11, 2027.
Ability to pass multiple FINRA licensing examinations and complete the internal training program.
Excellent communication, listening, and business writing skills.
Telephone service and client relationship management skills.
Strong organizational and time-management skills.
Proficiency in Microsoft Office and web-based applications.
Ability to assist customers in a call-center environment while accessing data through multiple PC lookup applications.
Excellent PC and data-input skills.

Nice To Haves

SIE completed or strongly encouraged to be completed before the start date.
High integrity, attention to detail, and ability to evaluate and mitigate risk.
Passion for financial services and client service.
Prior financial tele-sales, trading, or call-center service experience.
Previous experience as a financial advisor or providing advice and guidance to retail clients.
Basic understanding of financial planning concepts, investment markets, and account types.
Entrepreneurial mindset, self-starter approach, and ability to adapt quickly to a fast-paced environment.

Responsibilities

Pass the SIE, Series 7, and Series 66 examinations within the first 180 days of employment.
Complete hands-on training in investment solutions and products, financial planning concepts, systems and operational functions, client service, and consultative sales, and achieve the milestones and learning goals required to graduate.
Maintain client relationships by providing service through incoming calls, directing client transactions, preparing reports and forms, responding to emails, and conducting proactive client outreach.
Work with representatives to maintain the client book operationally, meet compliance requirements, and deliver on client experience commitments through check-ins and outreach.
Collect and analyze client data, develop and implement appropriate financial planning solutions, and review and maintain those solutions on an ongoing basis.
Discuss financial planning topics including education, tax, estate, insurance, and investment allocation.
Understand account types, investment products, and investment markets to address questions from a diverse client base and use suitable investment vehicles for clients.
Meet goals related to asset investment, wallet-share consolidation, and relationship deepening by demonstrating LPL’s value and positioning appropriate plans and investment solutions.
Coordinate communication between departments and collaborate across teams to improve processes and integrate partnerships and practices that support clients.
Remain in good standing with compliance requirements, assess and mitigate risk through regular book and client analysis, and help prevent fraud through security checks and client conversations.