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Series Finance Jobs

10 jobs found

Licensed Premier Relationship Banker (Series 7/66, Life/Health)

Rhinebeck Bank Poughkeepsie, NY

7d ago

$65k - $85k/yr Full time 66 Advisor Banker

66 Advisor Banker

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Job Description

This on-site, branch-based role in Poughkeepsie focuses on growing deposits, expanding consumer lending, and identifying investment opportunities while delivering high quality customer experiences. The position requires a bachelor’s degree in Finance, Economics, Business, or a related field, along with FINRA licenses and a NYS Life/Health Insurance license. The compensation range for this role is between $65,000 and $85,000 annually, depending on experience.

Responsibilities

Proactively engage with customers to uncover banking, lending, and investment opportunities aligned with their financial goals.
Oversee the end-to-end origination of consumer loans, including home equity loans, while ensuring all regulatory requirements are met.
Direct clients to Financial Advisors or Mortgage Loan Partners as appropriate to achieve optimal outcomes.
Provide coaching and mentorship to junior Universal Bankers to support their development.
Travel between branches as needed to serve customers and support the growth of the branch network.

Requirements

Licensing: FINRA Series 7 and 66, plus NYS Life/Health Insurance License.
Proven sales success in outbound outreach and relationship management.
Strong verbal and written communication skills with a focus on delivering exceptional service.
Organizational and coaching abilities to prioritize tasks and mentor junior staff.
Education: Bachelor’s degree in Finance, Economics, Business, or related field preferred.
Valid driver’s license and the ability to travel between branches as needed.

Benefits

Competitive compensation: $65,000 to $85,000 based on experience.
Health, dental, and vision coverage to support your well-being.
Tuition reimbursement to assist with continuing education and career growth.
20 days of paid time off to recharge.
Generous 401(k) match to help plan for the future.
Structured training and development during onboarding, including classroom, webinar, and hands-on learning.
Ongoing mentorship from experienced professionals to foster growth in the role.
Paid volunteer hours to support community involvement and social impact.

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Series 7 Registered Broker

Cobra Trading, Inc. Carrollton, TX

12d ago

$60k - $75k/yr Full time Broker Client Relations Client Service

Broker Client Relations Client Service

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Job Description

Join Cobra Trading as an entry-level Series 7 Registered Broker based in Carrollton, Texas, onsite. The role centers on supporting active trading clients through trade and software assistance, managing accounts, and real-time risk oversight. Candidates must hold both Series 7 and Series 63 licenses. Compensation ranges from USD 60,000 to 75,000 per year.

Responsibilities

Provide trade support to clients, including order processing and execution assistance
Deliver software support for trading platforms and related systems
Oversee client accounts, including onboarding and ongoing relationship management
Monitor and manage real-time risk to support firm-wide risk controls

Requirements

Series 7 and Series 63 licenses (required)
Strong enjoyment in interacting with active trading customers
Experience in Electronic Trading Service and Support
Familiarity with Level II trading applications
Knowledge of US equities and options markets
Ability to assist in real-time risk monitoring and risk management
Ability to multitask in a fast-paced, time-sensitive environment
Self-motivated and energetic personality
Willingness to take on new roles and responsibilities

Technologies

Level II trading applications

Benefits

Health insurance
Dental insurance
Paid time off
Supplemental coverage options available
SEP IRA contribution after 3 years of employment

Hours

7:30 AM to 4:30 PM, Monday through Friday
6:15 AM to 3:30 PM, Monday through Friday
4:00 AM to 1:00 PM, Monday through Friday
8:30 AM to 5:30 PM, Monday through Friday
Exact hours may vary based on business needs
Market holidays off
PTO days available

Preferred Qualifications

Personal trading experience
Project management
Series 4 - Registered Options Principal
Series 3 - National Commodities Futures

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Financial Fiduciary Advisor - Series 65

Roberts Wealth Management Biloxi, MS

14d ago

$70k - $110k/yr Full time Marketing 65 Advisor

Marketing 65 Advisor

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Job Description

Roberts Wealth Management, a Biloxi, MS based firm, is seeking a Financial Fiduciary Advisor to join on site. This role guides clients toward their financial goals while benefiting from the support of an in-house marketing team and dedicated client liaisons, with a high-volume meeting schedule that emphasizes fiduciary service and clear, professional communication.

Responsibilities

Support clients in achieving their financial objectives.
Provide first-class service to both clients and advisors.

Requirements

Series 65 license required
Life insurance license required
Bachelor's degree in Finance, Business, or related field preferred
Proven experience in financial planning or wealth management
Strong understanding of investment products and financial markets
Excellent communication and interpersonal skills
Ability to work independently and as part of a team

Benefits

Dental insurance
Health insurance
Life insurance

Experience

Financial Planning and Sales: 5 years (Required)

Job Type

Full-time

Pay

$70,000 - $110,000 per year

Work Location

On-site in Biloxi, MS

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Private Client Advisor | Series 65

The MOHR Enterprises LLC Pleasant Hill, CA

19d ago

$150k - $165k/yr Full time 65 Advisor Business Development

65 Advisor Business Development

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Job Description

Private Client Advisor position in Pleasant Hill, CA with a wealth management firm offering USD 150,000–165,000 base salary plus a performance bonus.

Responsibilities

Act as a trusted financial advisor to high-net-worth individuals and families
Provide comprehensive financial planning and portfolio guidance
Strengthen client retention and growth through exceptional service
Identify and cultivate new client opportunities
Mentor junior advisors and support team development
Collaborate with internal investment and planning teams

Requirements

A minimum of 10 years' experience as a Financial Advisor
Active Series 65 license is required
Proven experience in a fee-based advisory model; RIA experience preferred
Experience managing client portfolios of $500K+; high-net-worth focus preferred
Strong business development and relationship management skills
Interest in mentoring others and contributing to a team-driven culture
Experience with 401(k) or retirement plans is a plus
A stable career history

Benefits

Competitive base salary with team bonus and growth incentives
Access to an established client base and robust referral network
Comprehensive operational and administrative support
A collaborative culture with transparent leadership
Opportunity to contribute to firm growth and assume leadership responsibilities

Schedule

Full-time, in-office, client-facing role

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Financial Advisor | Series 65

The MOHR Enterprises LLC Rocklin, CA

20d ago

$150k - $165k/yr Full time Senior 65 Advisor

Senior 65 Advisor

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Job Description

The MOHR Enterprises LLC is seeking an accomplished Financial Advisor to manage and grow a client portfolio through customized financial planning and investment guidance. This on-site role in Rocklin, California centers on leading client meetings, driving new business, and maintaining compliance while building durable client relationships. The position offers a base salary of $150,000 to $165,000 per year and requires at least 10 years of experience in a client-facing advisory role.

Overview

Join a respected financial planning and investment firm as a Financial Advisor, delivering tailored strategies to affluent clients while fostering long-term relationships built on trust.

Responsibilities

Manage and grow a portfolio of client relationships
Deliver customized financial planning and investment advice
Lead client meetings and follow-up activities
Drive new client acquisition and referrals
Maintain compliance and detailed client records

Requirements

10+ years in a client-facing advisory role
Series 65 required
Strong interpersonal and communication skills
Proven ability to develop new business

Benefits

Competitive base salary
Full benefits package (medical, dental, vision)
401(k) with employer match
PTO and career development support

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Paraplanner / Registered Series 7 Associate

TSG Financial Advisors Keokuk, IA

28d ago

$55k - $70k/yr Full time Ameriprise Asset Allocation Associate

Ameriprise Asset Allocation Associate

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Job Description

Role Overview

Join a premier financial planning practice operating within an independent advisor franchisee aligned with Ameriprise Financial. This on‑site Paraplanner position supports financial advisors at a high level while upholding stringent business ethics and regulatory standards. The role focuses on financial planning, portfolio management, insurance, retirement plan administration, and top‑tier client service. Location: Keokuk, IA 52632.

Key Responsibilities

Prepare ongoing financial planning deliverables for clients
Assist with the client implementation process
Analyze clients’ existing holdings and overall asset allocation; provide recommendations for allocation changes and rebalancing
Execute trades as needed
Run portfolio illustrations and hypotheticals
Develop appropriate product deliverables
Provide current economic and market information during portfolio management meetings
Communicate with and service high net worth clients
Utilize a web‑based CRM to monitor client issues
Develop and prepare insurance illustrations
Analyze insurance illustrations and contracts
Track insurance underwriting progress
Keep up with insurance industry trends and complete required continuing education
Manage retirement plan systems such as SRAs, SEPs, and 401(k) plans
Supervise and evaluate paraplanner assistants
Serve as a technical resource, providing training and support to team members
Perform other duties as assigned by the advisor

Minimum Qualifications

FINRA Series 7 license, plus Series 65 or 66
Life and Health insurance license
3 to 5 years of direct experience in the financial services industry
Strong communication and analytical skills
Excellent organizational and multi‑tasking abilities
Tech‑savvy and proficient with modern tools
Positive attitude and motivation for self‑improvement

Compensation and Benefits

Compensation is commensurate with relevant experience.

Pay range: $55,000.00 to $70,000.00 per year
Benefits include 401(k) with employer matching after qualification year; employer‑sponsored health insurance, paid dental, life and disability insurance; and paid vacation, sick time, and holidays per practice policy

Work Details

Location: Keokuk, IA 52632
Work Location: In person

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Paraplanner / Registered Series 7 Associate

TSG Financial Advisors Winter Park, FL

28d ago

$55k - $70k/yr Full time Ameriprise Asset Allocation Associate

Ameriprise Asset Allocation Associate

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Job Description

Position Overview

Take on an essential role within a fast paced, client focused financial planning practice. As an on site paraplanner with a FINRA Series 7 license, you will support financial advisors at a high level. You will be employed by an independent advisor franchise partner operating a financial advisory practice affiliated with Ameriprise Financial, assisting in daily operations while upholding strict ethical and regulatory standards.

Key Responsibilities

Prepare ongoing financial planning deliverables
Assist with the client implementation process
Review clients' existing holdings and overall asset allocation to recommend allocation changes and rebalancing
Execute trades
Produce portfolio illustrations and hypotheticals
Develop appropriate product deliverables
Provide current economic and market information during portfolio management meetings
Communicate with and service high net worth clients
Utilize the web based contact management system to monitor client issues
Develop and prepare insurance illustrations
Analyze insurance illustrations and contracts
Track insurance underwriting progress
Stay up to date with insurance industry trends and complete required continuing education courses or seminars
Manage retirement plan systems such as SRAs, SEPs, and 401Ks
Supervise and evaluate paraplanner assistants
Act as a technical resource, providing training and support to team members
Perform other duties as assigned by the advisor

Minimum Qualifications

Series 7 license, and Series 65 or 66
Life and Health insurance license
3 to 5 years of direct experience in the financial services industry
Strong communication and analytical skills
Excellent organizational and multi tasking abilities
Tech driven and proficient with financial technology
Positive attitude and professionalism
Motivation for ongoing self improvement

Compensation and Benefits

Salary is commensurate with relevant experience.

Benefits include paid vacation, sick days, and holidays per practice policy
Employer sponsored health insurance, paid dental, life and disability insurance
401(k) retirement plan available after completing the qualified year

Compensation Details

Pay: $55,000.00 - $70,000.00 per year

Location and Work Arrangement

Work Location: On site

Location: Winter Park, FL 32789

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Paraplanner / Registered Series 7 Associate

TSG Financial Advisors Knoxville, TN

28d ago

$55k - $70k/yr Full time Ameriprise Asset Allocation Associate

Ameriprise Asset Allocation Associate

Financial Fiduciary Advisor - Series 65

Roberts Wealth Management Mandeville, LA

1mo ago

$80k - $110k/yr Full time 65 Advisor Client Relations

65 Advisor Client Relations

Financial Planner and Financial Advisor career path (Series 7/66)

Prudential Advisors: The Greater Los Angeles... Sherman Oaks, CA

1mo ago

$17+/hr Full time Marketing 66 Advisor

Marketing 66 Advisor

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