Advisor Licensing Program
Core
A 6-month training program for aspiring Financial Advisors to obtain FINRA licenses (Series 7 & 66) and graduate as Associate Financial Advisors 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
Financial planning, investment solutions, consultative sales, client relationship management, risk mitigation, compliance, data analysis
Preferred skills
SIE certification, prior financial tele-sales or call center experience, previous financial advisor experience, Microsoft Office proficiency
Technologies
LPL systems, web-based applications, PC lookup applications
Responsibilities
Pass SIE, Series 7, and Series 66 exams within 120 days; deliver comprehensive financial planning and investment solutions; maintain client relationships via phone and virtual channels; ensure book compliance and risk mitigation; facilitate interdepartmental collaboration.
Seniority
Entry-level, training program participant