FINRA Licensing

FINRA Licensing Finance Jobs

15 jobs found

1mo ago

Financial Services Representative

New York Life Glendale, CA

Glendale, CA

1mo ago Closed

$85k - $260k/yr Full time Advisor Client Relations Client Service

This position is no longer accepting applications (closed Aug 28, 2026).

Job Description

New York Life is seeking a Financial Services Professional focused on retirement planning, college funding, life insurance, investment strategies, and comprehensive financial planning. The role centers on building business plans, prospecting clients, presenting tailored solutions, and pursuing licenses, with opportunities for advancement. This hybrid position is based in Glendale, California, combining on-site collaboration with flexible work arrangements.

Responsibilities

Develop and implement business and marketing plans
Prospect for potential clients to discuss their financial needs and concerns
Present tailored solutions drawn from our suite of products and services
Advance professional skills through the New York Life training curriculum
Pursue optional licenses to sell investments and other securities products in wealth management and advanced planning

Benefits

401(k)
AD&D insurance
Dental insurance
Disability insurance
Employee assistance program
Employee discount
Financial planning services
Flexible schedule
Flexible spending account
Health insurance
Health savings account
Life insurance
Opportunities for advancement
Paid sick time
Paid time off
Paid training
Parental leave
Prescription drug insurance
Professional development assistance
Profit sharing
Retirement plan
Tuition reimbursement
Vision insurance

First Year Compensation

Average first-year agent/advisor in this branch earns $76,000 to $80,000 per year

Third Year Compensation

Average 3 year agent/advisor in this branch earns $151,733 per year

Job Type

Full-time

Pay

$85,000.00 - $260,000.00 per year

Schedule

Monday to Friday
Weekends as needed

Work Location

Hybrid remote in Glendale, CA 91203

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1mo ago

Financial Solutions Advisor Registration Candidate

Bank of America Ann Arbor, MI

Ann Arbor, MI

1mo ago Closed

Full time Advisor Client Service Financial Advisor

This position is no longer accepting applications (closed Aug 6, 2026).

Job Description

Bank of America is seeking a Financial Solutions Advisor Stage I to join its client-focused team in Ann Arbor, Michigan. The role centers on building and managing relationships, delivering core banking and investment solutions at the financial center, and advancing through a structured licensing path that includes SIE, Series 7, and Series 66, with SAFE Act registration requirements as you move toward Stage II.

This onsite position blends advisory duties with a formal development program designed to equip you with credentials and knowledge to serve a diverse client base, from everyday banking customers to higher net worth individuals.

Responsibilities

Establish and nurture enduring client relationships across the lifecycle of the partnership.
Evaluate clients' complex financial circumstances and deliver tailored guidance and solutions to help them achieve their financial priorities, while maintaining a human-centered approach to conversations.
Provide Bank of America's core banking and investment offerings and client-care approach within a financial center setting.
Obtain the required securities licenses: SIE, Series 7, and Series 66, and complete the licensing within the defined timelines (SIE within 30 days; Series 7 and 66 within 120 days).
Register for the SAFE Act background check and maintain good standing, complying with SAFE Act requirements.
Engage with banking customers, small business owners, and higher-net-worth clients to grow the business.
Deliver end-to-end comprehensive financial guidance.
Lead client reviews and presentations with confidence.
Recommend strategies to help clients meet their financial goals and life priorities.
Collaborate with core banking and investment partners to connect clients with Bank of America and Merrill solutions to meet their financial needs.

Requirements

Aptitude to obtain the necessary industry licenses.
Self-discipline in managing time and capacity.
Experience in cultivating client relationships, assessing needs, and recommending solutions.
Proven ability to build strong peer relationships through effective communication and collaboration.
Demonstrates a results-driven mindset while prioritizing the client's interests in a complex, fast-paced environment.
Ability to manage multiple tasks concurrently.
Williness to learn and adapt to new technology or applications.

Benefits

World-class training and onboarding programs.
One-on-one coaching from Academy managers.
Structured training to obtain SIE, Series 7 and Series 66 licenses with deadlines.
Defined consultative approach to identify client needs and solutions.
Networking opportunities with banking customers, small business owners, and higher net-worth clients.
End-to-end comprehensive advice and client reviews/presentations.
Collaboration with core banking and investment partners to connect clients to solutions.

We’ll Help You

Build a successful career at Bank of America through world-class training and onboarding programs that set you up for success.
Receive training and one-on-one coaching from Academy managers who are invested in your success.
Grow your knowledge using a defined consultative approach to systematically identify client needs and appropriate solutions.
Earn SIE, Series 7, and Series 66 licenses, with 63 and 65 accepted in lieu of 66, through structured lessons. SIE must be obtained within 30 days of hire and Series 7 and 66 within 120 days.
Build your network starting at a financial center by engaging with banking customers, small business owners, and higher-net-worth clients, leveraging relationships to grow your business.
Provide end-to-end comprehensive advice, deliver client reviews/presentations with confidence, and recommend strategies to help clients achieve their financial goals and life priorities.
Collaborate with core banking and investment partners to connect clients to Bank of America and Merrill solutions to meet their financial needs.

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1mo ago

Financial Solutions Advisor Registration Candidate

Bank of America Glen Burnie, MD

Glen Burnie, MD

1mo ago Closed

$28 - $33/hr Full time Advisor Financial Advisor Financial Services

This position is no longer accepting applications (closed Aug 6, 2026).

Job Description

This stage I role at Bank of America focuses on earning securities licenses and developing essential client advisory skills, with a defined path to Stage II advancement and SAFE Act registration.

Location

Glen Burnie, MD (onsite)

Compensation

Hourly wage: USD 28 - 33

Responsibilities

Participate in world-class training and onboarding programs designed to position you for long-term success.
Receive training and one-on-one coaching from Academy managers dedicated to your development.
Expand your business knowledge through a defined consultative approach to systematically identify client needs and appropriate solutions.
Obtain required licenses: SIE within 30 days of hire; Series 7 and Series 66 within 120 days (63 and 65 accepted in lieu of 66), through structured lessons and dedicated study time.
Build your professional network starting at a financial center by engaging with banking customers, small business owners, and higher net worth clients, supported by Bank of America’s broad household relationships.
Provide end-to-end comprehensive advice, deliver client reviews and presentations with confidence, and recommend strategies to help clients achieve their financial goals and life priorities.
Collaborate with core banking and investment partners to connect clients with the solutions offered through Bank of America and Merrill to meet most of their financial needs.

Requirements

Aptitude for obtaining the necessary industry licenses.
Self-discipline in managing time and capacity.
Experience cultivating client relationships, assessing needs, and recommending solutions.
Successful track record in building strong peer relationships through effective communication and collaboration.
Results-driven mindset with a focus on the client's interests in a complex, fast-paced environment.
Ability to execute multiple tasks simultaneously.
Willingness to learn and adapt to new technology or applications.

Benefits

Access to world-class training and onboarding programs that support career development.
One-on-one coaching from Academy managers invested in your success.
Structured growth of business knowledge through a defined consultative approach to identify client needs and solutions.
Licensing pathway for SIE, Series 7, and Series 66 (63/65 accepted in lieu of 66) with specified timelines.
Opportunity to build a network within a financial center, engaging with banking customers, small business owners, and higher net worth clients, leveraging broad household relationships.
Ability to deliver comprehensive advice, conduct client reviews, and present strategies to help clients reach financial goals.
Collaboration with core banking and investment partners to connect clients with Bank of America and Merrill solutions.

Skills

Client Experience Branding
Client Solutions Advisory
Investment Management
Pipeline Management
Referral Management
Client Management
Customer and Client Focus
Portfolio Management
Prospecting
Referral Identification
Business Acumen
Executive Presence
Oral Communications
Risk Management

Weekly Schedule

Monday through Friday, some Saturdays required

Shift

1st shift (United States of America)

Hours Per Week

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1mo ago

Financial Advisor - Associate

Financial Partners Coral Springs, FL

Coral Springs, FL

1mo ago Closed

$50k - $100k/yr Full time Marketing Advisor Associate Financial Advisor

This position is no longer accepting applications (closed Aug 1, 2026).

Job Description

Financial Partners in Coral Springs, FL is seeking an Associate Financial Advisor to join the local team. The role centers on marketing, creating opportunities, and learning the firm’s systems, with an in-person placement in Coral Springs and a licensing path that includes Insurance and Series 65. This position offers a pathway to industry licenses while developing hands-on client-facing experience.

Responsibilities

Must be able to commute to the Coral Springs office five days a week at least initially.
Execute marketing activities, generate opportunities, and learn the firm’s systems.
Ultimately obtain a 215 Insurance License and a Series 65 Investment Advisor License.
It would be advisable to also hold a Series 6 Investment Company and Variable Contracts License.

Requirements

Bachelor's degree (Required)
Bilingual English and Spanish (Required)
Coral Springs, FL 33071 (Required)

Experience

Education or Financial Services: 1 year (Preferred)

Licenses & Certifications

Series 6, Series 63, Fla Life and Health 214 (Preferred)

Benefits

401(k)
401(k) matching
Dental insurance
Flexible schedule
Health insurance
Paid time off
Paid training
Professional development assistance
Tuition reimbursement

Job Type

Full-time

Work Location

In person
Hybrid remote in Coral Springs, FL 33071

Pay

$50,000.00 - $100,000.00 per year

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2mo ago

Financial Solutions Advisor Registration Candidate

Bank of America Mountain View, CA

Mountain View, CA

2mo ago Closed

$29 - $34/hr Full time Advisor Banking Client Relations

This position is no longer accepting applications (closed Jul 28, 2026).

Job Description

Based onsite in Mountain View, California, this entry-level opportunity sits at the intersection of banking and investment advisory. As a Financial Solutions Advisor Stage I, you will focus on earning essential securities licenses and developing foundational advisory skills, with a clear path to Stage II and broader opportunities within Bank of America and Merrill.

Responsibilities

Complete required securities licenses, including SIE within 30 days and Series 7 and Series 66 within 120 days (63 and 65 may be accepted in place of 66).
Develop and manage client relationships, assess complex financial needs, and provide tailored advice and solutions.
Enter a financial center to deliver Bank of America core banking services, investment solutions, and client-care approaches.
Progress to Financial Solutions Advisor Stage II after demonstrated success and continue expanding client relationships within a portfolio.
Offer end-to-end, comprehensive guidance, conduct client reviews and presentations with confidence, and recommend strategies to help clients reach their financial goals and life priorities.
Collaborate with core banking and investment partners to connect clients to Bank of America and Merrill solutions.
Register for and maintain SAFE Act background checks and registration, staying in good standing; failure to obtain or maintain registration may result in termination.

Requirements

Ability to obtain the required industry licenses.
Strong self-discipline in time and workload management.
Experience building and nurturing client relationships, assessing needs, and recommending solutions.
Proven ability to establish solid internal relationships through effective communication and collaboration.
Results-driven mindset with a client-first approach in a fast-paced, complex environment.
Capacity to manage multiple tasks concurrently.
Willingness to learn and adapt to new technology and applications.
Education: High School Diploma, GED or equivalent.

Benefits

World-class training and onboarding programs.
One-on-one coaching from Academy managers committed to your success.
Structured approach to expanding product knowledge and identifying client needs and solutions.
Opportunity to earn SIE, Series 7 and Series 66 licenses (63 & 65 accepted in lieu of 66) through guided study; SIE within 30 days, Series 7 & 66 within 120 days.
Networking opportunities at a financial center, engaging with banking customers, small business owners, and higher net worth clients.
Ability to deliver end-to-end advice, client reviews and presentations, and recommend strategies to help clients meet financial goals.
Collaboration with core banking and investment partners to connect clients with Bank of America and Merrill solutions.

What we’ll help you with

Build a successful career at Bank of America through world-class training and onboarding programs designed for long-term success.
Receive training and one-on-one coaching from Academy managers who are invested in your development.
Enhance your business knowledge using a defined consultative approach to systematically identify client needs and appropriate solutions.
Earn your SIE, Series 7 and Series 66 licenses (63 & 65 accepted in lieu of 66) through structured lessons and dedicated study time, with the SIE due within 30 days and Series 7 & 66 within 120 days.
Grow your professional network starting at a financial center by engaging with banking customers, small business owners, and higher net worth clients, leveraging relationships to expand your practice.
Provide end-to-end advice, deliver client reviews/presentations with confidence, and propose strategies to help clients achieve financial goals.
Collaborate with core banking and investment partners to connect clients with solutions offered by Bank of America and Merrill to address a broad range of financial needs.

Skills

Client experience branding
Client solutions advisory
Investment management
Pipeline management
Referral management
Client relationship management
Customer-focused service
Portfolio oversight
Prospecting and lead generation
Referral identification
Business acumen
Executive presence
Oral communication
Risk management
Trading knowledge

Schedule

Schedule: Monday to Friday with rotating Saturdays

Shift

First shift (United States)

Hours per week

Compensation

Hourly range: USD 29 - 34

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2mo ago

Financial Professional

New York Life Syracuse, NY

Syracuse, NY

2mo ago Closed

$52k - $152k/yr Full time Advisor Client Advisor Client Service

This position is no longer accepting applications (closed Jul 27, 2026).

Job Description

The Financial Professional role is based onsite in Syracuse, NY at the Finger Lakes General Office, focusing on helping individuals and families achieve financial well being through retirement and college planning, supported by thorough training and a robust benefits package.

Compensation

Salary: USD 52,000 - 152,000 per year.

Responsibilities

Provide clients with clarity and guidance as they navigate retirement planning and college savings, simplifying complex financial decisions.
Demonstrate the meaningful, long term impact of your work for individuals and families.
Potential to specialize via Eagle Strategies LLC to deliver wealth management, estate planning strategies, and business solutions.
Benefit from comprehensive training and day to day tools, with access to experts and a suite of digital sales, prospecting, and marketing resources to attract and retain clients across web, social, and email channels.

Requirements

Authentic in client relationships
Strong communicative abilities
Self disciplined with a proactive approach
Coachable and eager to learn
Entrepreneurial mindset
Competitive drive

Benefits

401(k)
401(k) matching
Dental insurance
Disability insurance
Flexible schedule
Health insurance
Paid time off
Parental leave
Tuition reimbursement
Vision insurance
Work from home

Supplemental Pay

Bonus opportunities
Commission pay

Training

Training Magazine’s APEX Award for 2022.

Financial Strength

A++ Superior (A.M. Best)
AAA Exceptionally Strong (Fitch)
Aaa Exceptional (Moody’s)
AA+ Very Strong (Standard & Poor’s)

Diversity and Inclusion Recognitions

Human Rights Campaign: 2022 Corporate Equality Index
Forbes 2022: America’s Best Employers for Diversity
Latino Leaders 2022 Best Companies for Latinos to Work For

Client Impact and Statistics

5.3 million lives protected among owners of individual life insurance and annuity policies
$579 million lifetime annuity income paid
$4.5 billion in living benefits awarded
Over $1.2 trillion life insurance protection in force

Awards and Accolades

We are proud of our financial strength.

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2mo ago

Financial Solutions Advisor Registration Candidate

Bank of America Palatine, IL

Palatine, IL

2mo ago Closed

$28 - $33/hr Full time Advisor Banking Client Advisor

This position is no longer accepting applications (closed Jul 22, 2026).

Job Description

Financial Solutions Advisor Stage I at Bank of America in Palatine, IL, focuses on obtaining securities licenses (SIE, Series 7, Series 66) and delivering banking and investment solutions to clients, with progression to Stage II via Academy programs; position is subject to SAFE Act registration.

Responsibilities

Develop and maintain client relationships while assessing complex financial situations and guiding them with tailored advice and solutions.
Present Bank of America core banking and investment products and deliver attentive client care within a financial center.
Provide end-to-end financial guidance, conduct client reviews and presentations, and propose strategies to help clients meet financial goals and life priorities.
Collaborate with core banking and investment partners to connect clients to solutions through Bank of America and Merrill.
Obtain required securities licenses through dedicated training; achieve SIE within 30 days and Series 7/66 within 120 days.
Expand a professional network by engaging banking customers, small business owners, and higher net worth clients to grow the business.
Register with the SAFE Act registry and complete the background check; maintain good standing to avoid termination.

Requirements

Aptitude for earning the required securities licenses.
Strong self-discipline and time management skills.
Experience in cultivating client relationships, assessing needs and proposing solutions.
Proven ability to build strong peer relationships through effective communication and collaboration.
Results-driven mindset with the ability to prioritize clients’ interests in a complex, fast-paced environment.
Ability to manage multiple tasks simultaneously.
Willingness to learn and adapt to new technology or applications.

Qualifications

Education: High School Diploma / GED / Secondary School or equivalent.

Benefits

Build a successful career at Bank of America through world-class training and onboarding programs that set you up for success.
Receive training and one-on-one coaching from Academy managers who are invested in your success.
Grow your business knowledge by using a defined consultative approach to systematically identify client needs and appropriate solutions.
Earn your SIE, Series 7 and Series 66 licenses (63 & 65 accepted as alternatives) through structured lessons and dedicated study time; obtain SIE within 30 days and Series 7 & 66 within 120 days.
Build your network starting at a financial center with interactions with banking customers, small business owners, and higher net worth clients; leverage relationships to grow the business.
Provide end-to-end comprehensive advice, deliver client reviews/presentations with confidence, and recommend strategies to help clients reach financial goals.
Collaborate with core banking and investment partners to connect clients to solutions through Bank of America and Merrill to meet a wide range of financial needs.

Schedule & Location

Location: Palatine, IL onsite
Schedule: Monday – Friday with rotating Saturdays
Shift: 1st shift (United States of America)
Hours per week: 40
Note: Training occurs at a financial center; role may transition to a phone-based capacity before relocation to another center within permissible commuting distance, based on business needs and applicable law.