Financial Planning Associate

Description:

At Larson Financial Holdings, LLC we are seeking eager aspiring Financial Planner Associates to participate in a structured 90-day development program designed to build the knowledge, skills, and licensing requirements necessary for a successful career in financial planning and wealth management. This role combines classroom learning, securities licensing preparation, client service exposure, and direct mentorship from Financial Planners and Client Service Associates.

The associate will progressively develop expertise in investment products, regulatory requirements, financial planning concepts, client onboarding, and compliance while preparing for and obtaining the Securities Industry Essentials (SIE), Series 7, and Series 66 licenses.

Key Responsibilities

Client Service & Operations

• Shadow Client Service Associates (CSAs) to learn client intake, onboarding, account maintenance, and service processes.
• Observe client interactions and assist with administrative and operational workflows.
• Learn account documentation requirements and client record management procedures.
• Develop an understanding of client service standards and best practices.

Financial Planning Exposure

• Observe Financial Planner meetings and client consultations.
• Participate in financial planning development sessions and plan implementation reviews.
• Gain experience evaluating client goals, risk tolerance, and investment objectives.
• Learn suitability standards and recommendation processes.

Investment & Securities Knowledge

• Develop a strong understanding of capital markets and securities industry fundamentals.
• Learn characteristics, risks, and applications of:
  • Equities
  • Fixed income securities
  • Mutual funds
  • Exchange-traded funds (ETFs)
  • Options and derivatives
  • Alternative investments
  • Retirement plans
  • Investment company products
• Build knowledge of portfolio construction and risk management principles.

Compliance & Regulatory Education

• Study federal and state securities regulations.
• Learn FINRA rules, prohibited activities, and industry compliance requirements.
• Understand suitability standards, trading regulations, and account management procedures.
• Develop knowledge of fiduciary responsibilities and ethical business practices.

Licensing & Professional Development

• Complete structured training curriculum and assigned educational materials.
• Attend training sessions, workshops, and licensing preparation courses.
• Create study materials, including flashcards and practice reviews.
• Complete benchmark assessments and practice examinations.
• Successfully obtain:
  • Securities Industry Essentials (SIE)
  • Series 7 License
  • Series 66 License

• Bachelors degree or equivalent professional experience.
• Strong interest in financial planning, wealth management, and investment advisory services.
• Excellent communication and interpersonal skills.
• Strong organizational and time-management abilities.
• Ability to learn complex financial and regulatory concepts.
• Demonstrated commitment to professional development and licensing success.

Preferred

• Degree in Finance, Business, Economics, Accounting, or related field.
• Previous client service, financial services, or internship experience.
• Familiarity with financial markets and investment concepts.

Success Metrics

• Completion of assigned training curriculum and coursework.
• Achievement of benchmark scores on licensing practice examinations.
• Successful attainment of SIE, Series 7, and Series 66 licenses.
• Demonstrated understanding of compliance and regulatory requirements.
• Positive participation in client service, planning, and operational activities.
• Readiness to transition into an advisory or financial planning support role.

Core Competencies

• Client Focus
• Professional Communication
• Analytical Thinking
• Regulatory Awareness
• Attention to Detail
• Learning Agility
• Time Management
• Teamwork & Collaboration
• Ethical Decision-Making

Not eligible for benefits this is a temporary 90-day position, full-time offer / employment is dependent on passing SIE, Series 7, and 66 exams

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