Advisor Licensing Program

LPL Financial Services•Tempe, AZ

31d•$22 - $36

About The Position

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 program provides 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.

Requirements

Associate or Bachelor's degree from an accredited institution
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
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.

Nice To Haves

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

Responsibilities

Licensure Testing: Training Advisors must pass the SIE, Series 7, and Series 66 exams, with no more than two attempts per exam, within a timeframe of up to six months from their start date.
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.