Series Licensing

Series Licensing Finance Jobs

34 jobs found

Financial Advisor

JJ Advisor Group Rapid City, SD Hybrid

9d ago

$50k - $70k/yr Full time Advisor Client Relations Client Service

Advisor Client Relations Client Service

Apply Now

Job Description

Licensed Financial Advisor role in Rapid City, SD with JJ Advisor Group, focusing on relationship management, client growth, and comprehensive financial planning and wealth management; relocation assistance provided.

Responsibilities

Prepare for client meetings with research and investment analysis, address problems, resolve issues, and deliver financial planning recommendations to meet client needs.
Provide premier service to current clients, ensuring high-quality support and responsiveness.
Develop effective working relationships with internal teams and external professionals to deliver coordinated client service.
Conduct and document communications with clients and prospects, preserving clear records of interactions.
Manage, organize, present data, and review performance on a weekly, monthly, and quarterly basis.
Attend client and team meetings, document notes, assign tasks, and follow up on action items.
Drive project progress and delegate tasks as needed to meet deadlines.
Assist in growing the firm’s new client relationships and contribute to business development efforts.

Requirements

Strong interpersonal and communication skills to engage with financial advisors, support staff, vendors, and Cambridge home office personnel on sensitive matters.
Thorough understanding of company policies, procedures, and applicable regulations.
Professional, courteous demeanor when working with advisors, administration, and clients in a deadline-driven environment.
Commitment to delivering a premier level of customer care in a calm, professional manner.
Ability to organize, manage, track, and complete multiple detailed tasks and assignments.
Solid analytical skills for researching and resolving problems.
Ability to work independently with minimal supervision.
Extensive documentation of all client communications.
Operate with high integrity, adhere to compliance rules, and avoid shortcuts.
Proficiency with Wealthport, eMoney, Redtail, Riskalyze, and Microsoft Office Suite.
Ability to build trust and lasting relationships with clients.

Education and Experience

Bachelor’s degree and at least two years of experience in the financial services industry, or an equivalent combination of experience, education, and/or training as approved by the firm.

Licenses and Certifications

FINRA Series 7, Series 65, and Life and Health licenses required, with a commitment to ongoing continuing education to maintain licensing.

Technologies

Wealthport
eMoney
Redtail
Riskalyze
Microsoft Office Suite

Compensation

Salary: USD 50,000 - 70,000 per year

Location

Rapid City, South Dakota (hybrid)

Benefits

Relocation assistance to Rapid City, South Dakota
Opportunity for future ownership in the company

View full job page →

Financial Services Associate

Moldenhauer & Associates Orchard Park, NY

12d ago

$65k - $70k/yr Full time Advisor Associate Client Relations

Advisor Associate Client Relations

Apply Now

Job Description

Moldenhauer & Associates seeks a Financial Services Associate in Orchard Park, NY to support the financial planning team with research, data analysis, and comprehensive plan preparation.

Responsibilities

Conduct research on investment options, market trends, and financial products to inform client plans.
Analyze and interpret financial data to support the development of client financial plans.
Collaborate with financial advisors to gather necessary information for client engagements.
Prepare reports, presentations, and documentation to support client meetings.
Stay informed about industry regulations and changes to ensure compliance with financial planning standards.
Provide administrative support to the financial planning team as needed.

Requirements

Bachelor’s degree in finance, business, economics or a related field.
FINRA Series 7 & 63 or SIE & 66 & 7; NY Life & Health
Three years of previous experience.
Knowledge of financial planning concepts, investment products, and industry regulations.
Strong analytical and problem-solving skills.
Excellent communication and interpersonal skills.
Proficient in financial planning software and Microsoft Office Suite.

Technologies

Microsoft Office Suite
Financial planning software

Compensation

Salary: $65,000 to $70,000 per year, dependent on experience and licensing.

Location and Work Setup

Onsite role located in Orchard Park, NY 14127 (In person).

Benefits

Health, dental, and vision insurance
401(k) with employer matching
Retirement plan with profit sharing opportunities
Health savings account
Paid time off, including five vacation days and five PTO days in the first year
Parental leave
Professional development assistance
Tuition reimbursement
Referral program
Vision insurance

About the Company

Moldenhauer & Associates is a dynamic and growing financial services firm dedicated to delivering comprehensive, personalized financial planning solutions. The firm emphasizes excellence and client satisfaction as it supports advisory services for a diverse client base.

View full job page →

Financial Advisor

Lead Advisor, LLC Frederick, MD

14d ago

$82k - $120k/yr Full time Advisor Business Development Cash Flow

Advisor Business Development Cash Flow

Apply Now

Job Description

This role presents an entrepreneurial path to establish a personal financial planning practice within a wealth management framework, supported by sponsorship for industry licenses, structured training, mentorship, and essential infrastructure.

Location

Frederick, MD onsite

Compensation

Salary: USD 82,247 - 120,000 per year

Responsibilities

Develop and grow your personal book of business by actively prospecting and generating new client leads.
Leverage existing professional, community, and personal networks to identify opportunities.
Conduct discovery meetings to understand client goals and recommend tailored financial solutions.
Deliver presentations and financial plans that may address: savings, investments, retirement, insurance, education, income/cash flow planning and other financial priorities.

Requirements

Bachelor’s degree
Strong communication, presentation, and interpersonal skills
Self-starter with high motivation, resilience, and the ability to work independently
Ability to obtain FINRA licensing (Series 7, 66, or equivalent) and applicable state insurance licenses
Passion for helping clients achieve financial goals and willingness to build a career from the ground up

Benefits

Performance-based compensation: unlimited earning potential tied directly to production
Access to training, mentorship, and professional licensing support
401(k)
Health insurance
Retirement plan
Clear career path with potential for leadership opportunities

Skills & Competencies

Entrepreneurial mindset with a strong work ethic
Natural ability to network and develop professional relationships
Goal-oriented and comfortable in a performance-driven environment
High level of integrity and professional presence
Strong organizational skills for managing a pipeline of prospects and clients

View full job page →

JPMorgan Private Client Relationship Manager - Bellevue, WA

JPMorganChase Bellevue, WA

15d ago

$150k+/yr Full time Manager Advisor Banking

Manager Advisor Banking

Apply Now

Job Description

The Private Client Relationship Manager role within JPMorganChase's Consumer & Community Banking focuses on building and sustaining high net worth client relationships across banking, lending, and investments through targeted guidance and holistic planning.

Location

Compensation

USD 150,000 per year

Responsibilities

Develop new and manage existing client relationships, delivering service that consistently exceeds expectations.
Seek opportunities to deepen primary banking, investments, and lending relationships, regularly conducting in-person meetings with prospects and clients at their places of business and other external locations.
Network with referral sources and centers of influence beyond the office to generate banking and investment leads.
Forge robust internal partnerships across all lines of business to address each client's specific needs.
Ensure proposed solutions align with clients' short, medium, and long term goals through holistic, goals-based planning.
Strictly comply with risk and control policies, regulatory guidelines, and security measures.

Requirements

At least five years of financial services or service sales experience, with an established high net worth referral network and strong community presence.
Proven ability to build trusted relationships and consistently deliver exceptional client experiences.
Demonstrated success driving sales growth by deepening relationships across multiple product lines and collaborating effectively in a team to deliver client solutions.
Solid understanding of investments, wealth planning, credit, and banking concepts.
Licenses required: Series 7 and 66 (or 63 and 65). Unlicensed candidates may be considered but must obtain licenses within 150 days of start date.

Benefits

Comprehensive health care coverage
On-site health and wellness centers
Retirement savings plan
Backup childcare
Tuition reimbursement
Mental health support
Financial coaching

Federal Deposit Insurance Act

This position is subject to Section 19 of the Federal Deposit Insurance Act. As such, an employment offer for this position is contingent on JPMorganChase’s review of criminal conviction history, including pretrial diversions or program entries.

Dodd Frank / Truth in Lending Act

This position is subject to the Dodd Frank/Truth in Lending Act qualification requirements for Loan Originators. As such, an employment offer for this position is contingent on JPMC's review of your criminal conviction history, credit report, information available through NMLS, and any other information relevant to a determination by JPMC that you demonstrate financial responsibility, good character, and general fitness for the position. Note that any felony conviction within the last seven year

In addition, this position requires National Mortgage Licensing System and Registry (NMLS) registration under the SAFE Act of 2008. As such, upon active employment with JPMorgan Chase, you will be required to either register on NMLS, or to update your existing registration as necessary to grant access to and reflect your employment with JPMorgan Chase. Your continued employment in this position with JPMorgan Chase is contingent upon compliance with the SAFE Act, including successful registration

Any information obtained during the registration, update, and renewal processes or through NMLS notifications may impact your employment with the firm. Any of the completed information you provide during the Chase on-line application process may be transferred, on your behalf, to NMLS by JPMorgan Chase. Please carefully review the information you provide to Chase for accuracy and consistency and with any current NMLS record, if applicable, before submitting. Further information about NMLS and re

View full job page →

Financial Representative

DFW Wealth Strategies Dallas-Fort Worth, TX

16d ago

$50k - $150k/yr Full time Advisor Business Development Client Relations

Advisor Business Development Client Relations

Apply Now

Job Description

DFW Wealth Strategies offers a clear path to building value-based client relationships through educated financial strategies. This full-time, onsite Financial Representative role in Dallas-Fort Worth, TX provides a competitive salary range of $50,000 to $150,000 per year, plus a comprehensive benefits package and structured professional development. You will gather, manage, and service a book of investment-oriented clients, identify opportunities to acquire assets, and grow the practice through referrals, while delivering thoughtful guidance that emphasizes long-term value for clients.

Benefits

401(k)
Dental insurance
Flexible spending account
Health insurance
Health savings account
Life insurance
Paid time off
Professional development assistance
Retirement plan
Vision insurance

What we provide

Tools and technology to help you build scale and capacity to gather, manage, and service your clients
Objective wealth management solutions
Actionable practice management insights
Superior service and support

Responsibilities

Act as advocates for clients and are committed to continually enriching and serving their community
Problem-solve for clients by researching and proposing educated financial strategies, which leads to long-lasting, value-based client relationships
Gather, manage and service a book of investment-oriented clients by identifying and acquiring assets and developing additional business through referrals

Requirements

Current Texas General Lines Life and Health licenses
Must hold, or be willing to obtain, FINRA Series 65
Must hold, or be willing to obtain, FINRA Series 7 and Series 66 licenses
OR approved professional designation that exempts licensing (CFP, CFA, ChFC, CIC, or PFS)
Must be eligible to register as an Investment Advisor Representative (IAR) with the Texas State Securities Board
Bachelor’s degree in finance, business, economics, or related field preferred
Proven ability to build and manage client relationships with professionalism and integrity
Strong communication, presentation, and interpersonal skills
Entrepreneurial mindset with a drive to grow a client base and meet performance goals
Must pass a background check and comply with all applicable regulatory and firm policies

View full job page →

Senior Premier Banker Arlington, VA

Wells Fargo Falls Church, VA

17d ago

Full time Manager Senior Advisor

Manager Senior Advisor

Apply Now

Job Description

Based in Falls Church, Virginia, the Senior Branch Premier Banker (SAFE) role sits at the intersection of relationship management and regulatory licensing within Wells Fargo's Consumer Banking and Lending division. The successful candidate will acquire and deepen affluent client relationships, coordinate with advisory services, and offer a wide array of banking, credit, and investment solutions, all while progressing through required licensing.

Responsibilities

If not fully licensed at hire, participate in the Branch Banking Licensed Banker licensing program as a Senior Branch Premier Banker LP (SAFE) until licensing is complete, then transition to the Senior Branch Premier Banker (SAFE) role.
Proactively acquire new affluent consumer and small business customers and deepen existing relationships through outreach and pre-planned appointments.
Review and analyze moderately complex customer concerns for possible resolution using applicable resolution protocols.
Escalate banking related issues or business risks that require an in-depth evaluation.
Advise customers on banking, credit, and investment options and services.
Maintain deep knowledge of Wells Fargo's banking, credit, and investment solutions and services.
Identify client needs and goals for business, mortgage, retirement, and investment services, and partner with peers in Business Banking Advisory Services, Mortgage, and Wealth and Investment Management to meet those needs.
Understand and manage risks by adhering to policies, procedures, controls, and applicable laws, rules, and regulations.
Collect information from customers regarding income, assets, investments, and credit; analyze to develop customized plans aligning Wells Fargo options with clients' financial needs and goals.
Build relationships with branch colleagues, affluent customers, and partners to acquire, deepen, retain relationships, and help customers succeed financially.
Exercise independent judgement in managing client relationships through regular meetings to review financial condition and goals, and provide advice on banking services and options.
Be an active member of the branch team, offering guidance to other branch employees on developing relationships and managing moderately complex to complex client needs.
This SAFE position involves customer contact and duties that may include offering/negotiating terms and/or taking an application for a dwelling secured transaction and requires compliance with the SAFE Mortgage Licensing Act of 2008 and related regulations; ongoing employment depends on meeting licensing and background requirements.

Requirements

4+ years of customer service experience, or equivalent demonstrated through work experience, training, military experience, or education.
3+ years of experience building and maintaining effective relationships with customers and partners.
3+ years of experience recommending products and services.

Benefits

robust benefits
competitive compensation
programs designed to help you find work-life balance and well-being

Why Wells Fargo

Wells Fargo is a global financial services leader focused on driving innovation, empowering communities, and helping customers succeed. The company emphasizes a meaningful career with robust benefits, competitive pay, and well-being programs designed to support employees beyond the workplace, exemplified by the Living the Well Life approach.

About this Role

Wells Fargo is seeking a Senior Branch Premier Banker (SAFE) in Consumer Banking and Lending, within Branch Banking. Upon required licensing and SAFE registration, the employee will transition to the Senior Branch Premier Banker (SAFE) role. Learn more about career areas and divisions at wellsfargojobs.com.

Job Expectations

Ability to work a schedule that may include most Saturdays.
Adherence to Wells Fargo sales practices risk management culture.
Current registration for FINRA Series 6 and Series 63 (or FINRA recognized equivalents) is required or must be completed within a specified period. For exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) co-requisite is required.
In certain states (AK, AL, CT, DE, HI, IA, ID, IN, KS, MD, MI, MN, MS, MT, NC, ND, NE, NM, OR, SC, SD, TN, TX, UT, VA, WA, WI, WY), Series 65 (or equivalent) may be required within a specified period; WY permits referral-only licensed bankers to receive IAR registration without completing Series 65/66.
State insurance licenses are required and must be completed within a specified period.
Licensing requirements and completion timelines will be communicated upon offer acceptance based on the licenses needed.
Ongoing FINRA licensing and related regulatory requirements are required; Wells Fargo will initiate the FINRA review at offer acceptance, and SAFE registration will be initiated after employment starts.
Loan Originator (LO) qualification requirements apply; meet financial responsibility, character, financial fitness, and criminal background standards.
A current credit report will be used to assess financial responsibility; a credit score is not used in the evaluation.
This position is not eligible for visa sponsorship.

Posting Locations

1000 West Broad Street, Falls Church, VA 22046
1011 North Stafford Street, Arlington, VA 22201
951 S George Mason Drive, Arlington, VA 22204
3140 N Washington Blvd, Arlington, VA 22201
2213 N Glebe Road, Arlington, VA 22207
1500 Wilson Blvd, Suite 101, Arlington, VA 22209
1701 North McKinley Road, Arlington, VA 22205
2311 Wilson Blvd, Arlington, VA 22201
5797 Leesburg Pike, Falls Church, VA 22041
2928 Annandale Road, Falls Church, VA 22042

Posting end date: 16 Apr 2026

We value equal opportunity

Wells Fargo is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.

View full job page →

Senior Premier Banker Arlington, VA

Wells Fargo Arlington, VA

17d ago

Full time Senior Advisor Arlington

Senior Advisor Arlington

Apply Now

Job Description

Wells Fargo offers robust benefits, competitive compensation, and programs designed to support work‑life balance and well‑being. As a Senior Branch Premier Banker SAFE in Arlington, onsite, you will play a pivotal role in proactively attracting affluent clients, deepening relationships, and guiding clients toward financial options that align with their goals. You will collaborate with specialist teams to meet clients' financial needs while upholding prudent risk management.

Responsibilities

Proactively acquire new affluent consumer and small business customers, and deepen existing relationships through outreach and pre-planned appointments.
Review and analyze moderately complex customer concerns for resolution through discretionary application of applicable protocols.
Escalate banking related issues or business risks that require in‑depth evaluation.
Advise customers on various aspects of recommended and available financial options and services.
Maintain deep knowledge of Wells Fargo's banking, credit and investment solutions and services.
Identify client needs and goals for business, mortgage, retirement, and investment services, then partner with peers in Business Banking Advisory Services, Mortgage, and Wealth and Investment Management to best meet identified needs and goals.
Understand and manage risks by adhering to policies, procedures and controls and ensuring compliance with applicable laws and regulations.
Collect information from customers regarding income, assets, investments, and credit; analyze information to develop customized plans highlighting Wells Fargo options and services.
Build relationships with branch colleagues, affluent customers, and partners to acquire, deepen, and retain relationships and help customers succeed financially.
Exercise independent judgment in managing client relationships through regular meetings to review financial condition and goals, and provide advice on banking services and options.
Be an active member of the branch team, guiding other branch employees on developing relationships and managing moderately complex to complex client needs.
Note that this SAFE position involves customer contact and duties that may include offering or negotiating terms and/or taking applications for dwelling secured transactions; compliance with the SAFE Mortgage Licensing Act of 2008 and related regulations is required. Ongoing employment depends on meeting licensing requirements and background checks; Loan Originator requirements may also apply.

Requirements

4+ years of customer service experience, or equivalent demonstrated through work experience, training, military experience, or education.
3+ years of experience building and maintaining effective relationships with customers and partners.
3+ years of experience recommending products and services.
Financial services industry experience in corporate, consumer, mortgage, investments, brokerage, or private banking;
Experience recommending financial services products and services.
Successfully completed FINRA Series 6 and 63 exams (or recognized equivalents) to qualify for immediate registration.
State Insurance license(s).
3+ years of experience in a licensed financial services position.
Customer service focus with experience handling complex transactions across multiple systems.
Proficient in sourcing, acquiring, building, and maintaining relationships with customers and colleagues.
Excellent verbal, written, and interpersonal communication skills.
Knowledge of book of business processes to actively manage Wells Fargo customers to meet needs and grow the business.
Knowledge of Branch Banking compliance controls, risk management, and loss prevention.
Ability to follow policies, procedures, and regulations.
Ability to educate and connect customers to technology and share the value of self‑service digital banking options.
Experience using business acumen to provide financial services consultation to small business customers.
Knowledge of consumer lending products.
Integrity and professionalism in interactions with customers and employees.
High motivation with the ability to meet team objectives while maintaining individual performance.
Experience mentoring and peer coaching others.

Benefits

robust benefits
competitive compensation
programs designed to help you find work‑life balance and well‑being

Why Wells Fargo

Wells Fargo is positioned as a global leader in financial services, focused on driving innovation, empowering communities, and helping customers succeed. A meaningful career here blends robust benefits, competitive pay, and programs that support well‑being and personal growth.

About this role

Wells Fargo is seeking a Senior Branch Premier Banker SAFE in Consumer Banking and Lending within Branch Banking. Upon completing the required licensing and SAFE registration, the Senior Branch Premier Banker LP SAFE will transition to the Senior Branch Premier Banker SAFE role.

Job expectations

Ability to work a schedule that may include most Saturdays.
Adherence to Wells Fargo sales practices and risk management culture.
Current registration for FINRA Series 6 and Series 63 (or equivalents) is required or must be completed within a specified period. For certain exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) co‑requisite will be required.
For the states listed, Series 65 (or equivalent) may be required within a specified period; conditions vary by state and WY may permit certain exemptions. Licensing lists are subject to change.
State Insurance license(s) required and must be completed within a specified period.
Licensing requirements and timelines will be communicated upon offer acceptance.
Obtaining and maintaining FINRA licenses is required for ongoing employment; Wells Fargo will initiate the FINRA review process at offer acceptance. SAFE registration is required at the time of employment.
Loan Originator qualification requirements under the CFPB and Wells Fargo policies, including financial responsibility, character, general financial fitness, and criminal background standards.
A current credit report will be used to assess financial responsibility; a credit score is not part of the evaluation.
Ongoing regulatory requirements and potential additional screening as necessary.
This position is not eligible for visa sponsorship.