Advisor Licensing Program
Core
A 6-month training program for aspiring Financial Advisors to obtain licensure and transition into supporting mass affluent investors via phone and virtual channels.
Role type
Associate Financial Advisor (Training Program)
Builds
Investment solutions and financial plans for mass affluent clients
Domain
Wealth Management / Financial Services
Deliverable
client delivery
Required skills
FINRA licensing (Series 7, 66, SIE), comprehensive financial planning, investment solutions, consultative sales, client relationship management, risk mitigation, data analysis
Preferred skills
SIE certification prior to start, prior financial tele-sales or call center experience, previous experience as a financial advisor, proficiency in Microsoft Office
Technologies
LPL systems, web-based applications, PC lookup applications
Responsibilities
Pass FINRA licensing exams (SIE, 7, 66), provide incoming service calls and client outreach, maintain client books and compliance, design investment solutions, execute consultative sales to grow assets, facilitate interdepartmental communication
Seniority
Entry-level, structured training program