FINRA Series 7

FINRA Series 7 Finance Jobs

19 jobs found

8d ago

Financial Solutions Advisor - Registration Candidate

Bank of America Henderson, NV

Henderson, NV

8d ago

Full time Advisor Bank of America Client Service

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Job Description

Launch your advisor career through structured securities training, licensing, and client-facing experience at Bank of America in Henderson, NV.

Responsibilities

Complete the securities licensing path, supported by dedicated, personalized classes for Securities Industry Essentials (SIE), Series 7, and Series 66 exams.
Develop core advisory skills, including acquiring, building, and managing client relationships.
Learn how to consider a client’s complex financial picture and guide clients with advice and solutions while humanizing financial interactions.
After achieving key milestones, transition into a financial center role to help deliver core banking and investment solutions with a client-care focus.
Progress toward Financial Solutions Advisor Stage II by continuing to practice advisory skills and deepening relationships within a client portfolio.
Use a consultative approach to systematically identify client needs and match them with appropriate solutions.
Build relationships across a range of clients, including banking customers, small business owners, and higher net worth clients.
Provide end-to-end comprehensive advice, including delivering client reviews/presentations with confidence.
Recommend strategies aligned to clients’ financial goals and life priorities.
Collaborate with core banking and investment partners and connect clients to Bank of America and Merrill solutions to meet virtually all financial needs.
Work within a training and onboarding structure that includes world-class training and on-boarding programs.
Receive training and one-on-one coaching from Academy managers.

Requirements

Aptitude in obtaining required industry licenses.
Self-disciplined approach to managing time and capacity.
Experience cultivating client relationships, accessing needs, and recommending solutions.
Ability to create strong peer relationships through effective communication and collaboration.
Results-driven mindset that prioritizes clients’ interest in a complex, fast-paced environment.
Ability to execute multiple tasks simultaneously.
Willingness and ability to learn and adapt to new technology or applications.
Subject to SAFE Act registration requirements, including a SAFE Act background check/registration to maintain employment.
Pursuant to SAFE Act requirements, employees engaged in residential loan mortgage originations must register with the federal registry system and remain in good standing.
Required to register and submit to the required SAFE Act background check and registration process.
Failure to obtain and/or maintain SAFE Act registration may result in immediate termination.
Earn Security Industry Essentials (SIE) within 30 days of being hired.
Obtain Series 7 & 66 within 120 days. Series 7 and Series 66; 63 & 65 accepted in lieu of 66.

Desired Qualifications

Currently holds FINRA Securities Industry Essentials (SIE).
Bachelor’s degree and/or a minimum of one year of financial services industry or sales experience.
Spanish speaking.

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
Trading

Work Schedule

Monday–Friday and rotating Saturdays

Shift

1st shift (United States of America)

Hours Per Week

Education

High School Diploma / GED / Secondary School or equivalent

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1mo ago

Financial Planning Assistant (BA Degree & Series 7 REQUIRED)

EBNY Financial LLC Ridgewood, NJ

Ridgewood, NJ

1mo ago Closed

$50k - $100k/yr Full time Advisor Analytical Skills Client Relations

This position is no longer accepting applications (closed Sep 29, 2026).

Job Description

EBNY Financial LLC is seeking a Financial Planning Assistant to support a Certified Financial Planner at an in-person practice in Ridgewood, New Jersey. This hybrid role combines planning support with client-facing coordination, including research, portfolio assistance, and collaboration with the sales team to help clients understand financial products. The position requires prior office experience, a bachelor’s degree, and current licensing including Series 7.

Working at the practice in Ridgewood, you will help prepare planning materials, support portfolio monitoring and trading, and keep client information organized with appropriate confidentiality. For candidates building toward long-term client relationships, this role also includes assistant and sales support with the opportunity to develop your own client base.

Key Responsibilities

Assist financial planners in creating financial plans aligned to clients’ goals and risk tolerance.
Research investment opportunities and present findings to the team.
Support client portfolio management, including monitoring portfolio performance.
Collaborate with the sales team by providing financial product information to clients.
Assist in preparing financial reports and documents for client meetings.
Maintain accurate client records and ensure confidentiality of sensitive information.
Contribute to portfolio management and trading activities.
Provide Assistant/Sales support to help support the CFP and build your own client base.

Requirements

Bachelor’s degree.
Must be proficient in Microsoft Word, Microsoft Excel, and Microsoft Outlook on a PC.
Office setting experience is a prerequisite.
Series 7 license required.
Must also hold Series 63/65.
Ability to commute to Ridgewood, NJ 07450 (required).

Education, Experience, and Licensing

Education: Bachelor’s (Required)
Experience: Finance-related experience, 2 years (Required)
License/Certification: Series 7 (Required)
Preferred: Life & Health Insurance License

Compensation and Work Details

Salary: USD 50,000 to 100,000 per year
Job type: Full-time
Remote work: No
Work location: In person (Ridgewood, NJ)

Benefits

401(k) and 401(k) matching
Dental insurance
Employee assistance program
Health insurance
Life insurance
Paid time off
Retirement plan
Tuition reimbursement
Vision insurance

Benefit eligibility condition: Only full-time employees are eligible.

This job encourages applications from military experienced candidates.

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2mo ago

Advisor Development Program - Financial Solutions Advisor Trainee

Bank of America Columbia, MD

Columbia, MD

2mo ago Closed

$28 - $33/hr Full time Advisor Advisor Development Client Relations

This position is no longer accepting applications (closed Aug 19, 2026).

Job Description

Bank of America offers an Advisor Development Program within Merrill Wealth Management designed to launch your career in wealth and investment advisory. The onsite program in Columbia, MD combines licensing readiness with structured training and a defined path from ADP Financial Solutions Advisor Stage I to Merrill Financial Advisor. You will deliver Bank of America's core banking and investment solutions while building meaningful client relationships in a collaborative, client-focused culture.

Compensation: USD 28 - 33 per hour. The program includes dedicated study time for licensing and ongoing Academy support with programs, tools and resources to accompany you throughout the career journey.

What you will do

Complete securities licensing with allocated study time for SIE, Series 7, and Series 66.
Establish and cultivate client relationships, evaluating complex financial situations to tailor guidance and solutions.
Start in a financial center delivering Bank of America’s core banking products and investment solutions with a client-centric approach.
Advance from ADP Stage I to Merrill Financial Advisor, developing a portfolio that includes affluent and high net worth clients.
Benefit from continuous Academy support featuring dedicated programs, tools and resources to support your career progression.

What we look for

Comfort and confidence in a sales oriented environment.
Ability to build strong client relationships through clear communication and teamwork.
Proactive mindset with effective time management skills.
Results-driven approach with a client-first focus.
Capacity to identify suitable client solutions by applying new information and learnings.
Commitment to regulatory due diligence in daily activities and in formulating long-term client strategies.

Work schedule

Schedule: 40 hours per week, first shift.

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2mo ago

Financial Solutions Advisor Registration Candidate

Bank of America Ann Arbor, MI

Ann Arbor, MI

2mo 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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2mo ago

Financial Solutions Advisor Registration Candidate

Bank of America Glen Burnie, MD

Glen Burnie, MD

2mo 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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3mo ago

Financial Solutions Advisor Registration Candidate

Bank of America Mountain View, CA

Mountain View, CA

3mo 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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3mo ago

Financial Solutions Advisor Registration Candidate

Bank of America Palatine, IL

Palatine, IL

3mo 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.

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

4mo ago

Financial Solutions Advisor Registration Candidate

Bank of America Seattle, WA

Seattle, WA

4mo ago Closed

$28 - $33/hr Full time Advisor Advisory Services Banking

6mo ago

VP, Financial Consultant- Bellevue, WA

Charles Schwab Bellevue, WA

Bellevue, WA

6mo ago Closed

$80k - $90k/yr Full time Banking & Lending Bellevue Client Engagement

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