Average salary: $94,820 /yearly
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$125k - $150k
...SEC-registered investment advisory firm (RIA). Through common ownership, SAM is affiliated with Strategas Securities, LLC (STS), a FINRA member broker‑dealer and RIA. SAM offers a suite of model portfolios to clients. The model portfolios are created by SAM’s affiliate...SuggestedFull timeStrategas Asset Management
New York, NY1 day ago- ...txt, rtf LinkedIn Profile How were you referred for this position? If referred by a current AEL employee, please list name. Are you FINRA registered? If so, please list the FINRA licenses you hold and, if the licenses are not active, the expiration date of those licenses...SuggestedRelocationWork visa
$25 per hour
....3300 | 888.LUMSDEN | Fax: 716.856.2524 | ****@*****.*** Securities offered through Avantax Investment Services SM , Member FINRA , SIPC . Investment advisory services offered through Avantax Advisory Services SM . Insurance services offered through an Avantax affiliated...SuggestedHourly payFull timeSummer workInternshipImmediate startLumsden & McCormick LLP
Buffalo, NY1 day ago- ...across Arizona. Backed by National Life Group (A+ AM Best); securities and investment advisory services through Equity Services, Inc. (FINRA/SIPC). People. Impact. Outcome. Who this is for: This is a conversation for financial advisors who are planning to retire, reduce...SuggestedFull timeFlexible hours
WealthBridge Financial Group
Marana, AZ1 day ago $200k
## Managing Director, ECM-Investment Banking (FINRA)-3Applylocations: Ridgewood, NJ - Northland Securities Office: Minneapolis, MN - Northland Securities Officetime type: Full timeposted on: Posted Todayjob requisition id: R-20260908**At Northland, our employees are the...SuggestedTemporary workFor contractorsWork at officeWork from home- ...data management policies and technical controls supporting privacy objectives are properly tuned, serving as a strategic advisor to FINRA’s technology and data governance initiatives, translating complex privacy objectives into operational frameworks that enable innovation...SuggestedFull timeTemporary workFor contractorsFor subcontractorWork at officeLocal areaImmediate start
Financial Industry Regulatory Authority , Inc.
Falls Church, VA5 hours agonew $26 - $28 per hour
...Overview Pacific Life is hiring Financial Customer Service Representatives in Omaha who do not yet hold FINRA licenses. We will sponsor the entire licensing process, helping you earn your Securities Industry Essentials (SIE) and Series 6 within the first eight weeks of...SuggestedHourly payWork at office1 day per weekPacific Asset Management
Omaha, NE2 days ago$55k - $157.3k
...workplace culture where all of our employees feel respected, valued and have an opportunity to contribute to the company's success. As a FINRA Supervisory Specialist Senior within PNC's Wealth Management organization, you will be based within the PNC footprint at one of the...SuggestedFull timeTemporary workPart timeWork experience placementWork at officePNC Financial Services Group
Ann Arbor, MI1 day ago$75k - $85k
...Advisor Networks), Cetera Investment Services LLC (marketed as Cetera Financial Institutions, or Cetera Investors. All firms are members FINRA/SIPC. Cetera Financial Group is committed to providing an equal employment opportunity for all applicants and employees. For us,...SuggestedFull timeWork at officeFlexible hoursCetera Financial Group
Dallas, TX1 day ago- ...affiliates. The successful candidate will be a hands-on leader with deep expertise in broker-dealer operations, GAAP accounting, and SEC/FINRA reporting, and will be responsible for driving operational excellence, ensuring accurate financial reporting, and maintaining full...Suggested
Confidential
Detroit, MI1 day ago $42.64k - $52k
...orientation, gender identity, disability, veteran status, or other protected categories. This position is subject to FDIA, SAFE Act, and FINRA regulations that prohibit hiring of individuals with certain criminal histories. California Residents Refer to the California...SuggestedWork experience placementWork at officePNC Financial Services Group
Cincinnati, OH23 hours ago$70.5k - $81.5k
...Have your FINRA Series 7 and 63 and a passion for serving others? Join our team of "crew" as a Client Service Excellence Center associate! About this Job: At Vanguard, we have a client-first mentality that we live and breathe every day through our mission, "to...SuggestedRemote workVanguard Group, Inc.
Miami, FL4 days ago$70.5k - $81.5k
...Client Service Excellence Center Associate Have your FINRA Series 7 and 63 and a passion for serving others? Join our team of "crew" as a Client Service Excellence Center associate! At Vanguard, we have a client-first mentality that we live and breathe every day...SuggestedRemote workVanguard
United States3 days ago$250k
...transactions ranging from $200 million to $2 billion in enterprise value. Aeris is a registered broker-dealer and member of FINRA and SIPC. We are seeking high calibre pre- and post-MBA Vice Presidents with exceptional leadership, communication, teamwork,...SuggestedAeris Partners
Boston, MA4 days ago- ...About the Job: Hold Brothers Capital, LLC, is a FINRA Registered, SEC, Self-Clearing Broker Dealer. We strive to be a complete destination for traders looking to maximize their performance in today’s financial markets. We trade the US Equity Markets only. Our proprietary...SuggestedBi-weekly payRemote work
Hold Brothers
New York, NY4 days ago - ...designed to promote compliance with applicable securities regulatory authorities including, but not limited to, SEC laws and rules and FINRA rules and regulations. Responsibilities Assess and dispose of customer complaints. Assist in the execution of registration...
ReKruiting Advisors
Doral, FL1 day ago - ...mutual funds, retirement planning, and college savings programs. The company operates as a registered Broker-Dealer and is a member of FINRA and SIPC. Based out of Lincoln, Nebraska, Allstate Financial Services is committed to delivering financial security and peace of...Full timeWork experience placementWork from home
Allstate Financial Services, LLC
Cincinnati, OH15 hours ago $63.47k - $79.34k
...of presentation material.* Assist in scheduling retirement seminars/one-on-one appointments.* Maintain compliance with all firm and FINRA regulatory requirements.* May provide guidance and training to more junior staff* Additional responsibilities may be assigned**Knowledge...Part timeWork experience placementLocal areaFlexible hoursVoya Financial
Albuquerque, NM2 days ago$65k - $80k
...About this Job Are you a FINRA Series 7 and 63 licensed professional with a passion for building meaningful client relationships? Join our team as a Client Transfer Specialist for our Personal Investor clients at Vanguard. At Vanguard, we have a client‑first mentality...Vanguard Group
Charlotte, NC2 days ago$36k - $60k
...orientation, gender identity, disability, veteran status, or other protected categories. This position is subject to FDIA, SAFE Act, and FINRA requirements. California Residents Refer to the California Consumer Privacy Act Privacy Notice for information on how PNC may use or...Full timeWork experience placementPNC
Newton, NJ23 hours ago- ...Washington, DC (Job Posting): Tysons, VA (Job Posting)time type: Full timeposted on: Posted 2 Days Agojob requisition id: R-009770About FINRA FINRA (Financial Industry Regulatory Authority) is a not-for-profit organization dedicated to investor protection and market...Full timeTemporary workFor contractorsFor subcontractorWork at officeLocal areaImmediate start
Financial Industry Regulatory Authority , Inc.
Annapolis, MD3 days ago $150k
...Strategies LLC, a Registered Investment Adviser. Registered Representatives offer securities through NYLIFE Securities LLC (member FINRA/SIPC), A Licensed Insurance Agency - Equal Opportunity Employer M/F/D/V 1 - Full‑time agents and their dependents are immediately eligible...Full timePart timeLive inCurrently hiringWork at officeImmediate startWizeHire
Midland, TX1 day ago- ...Location: Chicago, IL (Hybrid) Phillip Capital Inc., located in Chicago, is dually registered with the SEC/FINRA as a self-clearing broker dealer and the Commodity Futures Trading Commission (CFTC) as a registered Futures Commission Merchant (FCM) serving professional...Work at office
PhillipCapital
Chicago, IL15 hours ago - ...Monday - Friday; must be flexible in regard to overtime & shift worked, which may change based on business needs. • Must obtain FINRA (formerly NASD) Series 6 license within 90 days of hire • Outstanding customer service skills and dedication to providing exceptional...Contract workRemote workMonday to FridayFlexible hoursShift work
Futran Tech Solutions Pvt. Ltd.
United States15 hours ago $58k - $66k
...Series 7, series 63, series 66, customer service, trade desk, call center Additional Skills & Qualifications Need Active Licenses FINRA Series 7 & 63 or 66 Needs customer service experience, call center, financial services experience preferred Financial services...Permanent employmentTEKsystems
Fort Worth, TX3 days ago- ...Command. ©2026 First Command Financial Services, Inc. is the parent company of First Command Brokerage Services, Inc. (Member SIPC , FINRA ), First Command Advisory Services, Inc., First Command Insurance Services, Inc. First Command does not discriminate in the...Hourly payTemporary workFor contractorsTraineeshipWork at officeLocal areaHome office
First Command Financial Services
O Fallon, IL4 days ago - ...origin, age, sexual orientation, gender identity, disability, veteran status, and other protected categories. This position is subject to FDIA Section 19 and SAFE Act, and FINRA requirements which prohibit hiring individuals with certain criminal history. #J-18808-Ljbffr...Work experience placement
PNC Financial Services Group
Irving, TX3 days ago - ...orientation, gender identity, disability, veteran status, or other protected categories. This position is subject to FDIA, SAFE Act, and FINRA requirements prohibiting the hiring of individuals with certain criminal histories. California Residents Refer to the California...Work experience placementWork at officeShift work
PNC
Crestwood, KY15 hours ago - ...qualified persons regardless of race, color, sex, religion, national origin, age, sexual orientation, gender identity, disability, veteran status, or other categories protected by law. This position is subject to FDIA and SAFE Act and/or FINRA requirements. #J-18808-Ljbffr...Temporary workWork experience placementWork at office
PNC
Clayton, NC1 day ago $26 - $28 per hour
...Pacific Life will pay you to get there. We're hiring Financial Customer Service Representatives in Omaha who don't yet have their FINRA licenses - and sponsoring them through the entire process. You'll earn your Securities Industry Essentials (SIE) and Series 6 within...Hourly payContract workWork at officeFlexible hours1 day per weekPacific Life
Omaha, NE4 days ago
