$55K - $65K/yr
Looking for Registered Field Assistant with at least 5 years of brokerage experience (not in ... Must have at least Series 6 but Series 7 preferred and a Bachelors Degree. Will be responsible for ...
Quick apply
$55K - $65K/yr
Looking for Registered Field Assistant with at least 5 years of brokerage experience (not in ... Must have at least Series 6 but Series 7 preferred and a Bachelors Degree. Will be responsible for ...
... * Assist in customer onboarding, including the performance of customer due diligence, review of ... FINRA Securities Industry Essentials Exam (SIE) and Series 7 or Series 99 - If not already obtained ...
... * Assist in customer onboarding, including the performance of customer due diligence, review of ... FINRA Securities Industry Essentials Exam (SIE) and Series 7 or Series 99 - If not already obtained ...
Atlanta, GA · On-site
... * Assist in customer onboarding, including the performance of customer due diligence, review of ... FINRA Securities Industry Essentials Exam (SIE) and Series 7 or Series 99 - If not already obtained ...
Atlanta, GA · On-site
... * Assist in customer onboarding, including the performance of customer due diligence, review of ... FINRA Securities Industry Essentials Exam (SIE) and Series 7 or Series 99 - If not already obtained ...
Indianapolis, IN · On-site +1
$45 - $60/hr
Series 7 license; candidates with Series 6 or Series 65 may be considered if applicable * Minimum ... Assistant - Client Service Advisor looking for a part-time role, apply now! #LI-LO1
Indianapolis, IN · On-site +1
$45 - $60/hr
Series 7 license; candidates with Series 6 or Series 65 may be considered if applicable * Minimum ... Assistant - Client Service Advisor looking for a part-time role, apply now! #LI-LO1
Nashville, TN · On-site
$100K - $150K/yr
Series 7 and Series 63 licenses are required. Key Responsibilities: Leadership & Oversight: * Lead ... * Assist in onboarding new clients or expanding stock plan services with current clients ...
Quick apply
Nashville, TN · On-site
$100K - $150K/yr
Series 7 and Series 63 licenses are required. Key Responsibilities: Leadership & Oversight: * Lead ... * Assist in onboarding new clients or expanding stock plan services with current clients ...
$17.75 - $23.75/hr
Series 7, Series 66 and/or LAH licensing is an advantage. * Minimum one full year of experience in an administrative role. * Previous business processing experience in the financial services industry ...
$17.75 - $23.75/hr
Series 7, Series 66 and/or LAH licensing is an advantage. * Minimum one full year of experience in an administrative role. * Previous business processing experience in the financial services industry ...
Work with margin accounts and review buying power as well as maintenance levels. * Assist customers ... FINRA Series 7 & 63 or 66 licenses required. Preferred Qualifications * Ability to communicate ...
Work with margin accounts and review buying power as well as maintenance levels. * Assist customers ... FINRA Series 7 & 63 or 66 licenses required. Preferred Qualifications * Ability to communicate ...
Auburn Hills, MI · On-site
$17.50 - $19.50/hr
Series 7, Series 66 and/or LAH licensing is an advantage. * Minimum one full year of experience in an administrative role. * Previous business processing experience in the financial services industry ...
Quick apply
Auburn Hills, MI · On-site
$17.50 - $19.50/hr
Series 7, Series 66 and/or LAH licensing is an advantage. * Minimum one full year of experience in an administrative role. * Previous business processing experience in the financial services industry ...
Raleigh, NC · On-site
$15.50 - $21.25/hr
Work with margin accounts and review buying power as well as maintenance levels. * Assist customers ... FINRA Series 7 & 63 or 66 licenses required. Preferred Qualifications * Ability to communicate ...
Raleigh, NC · On-site
$15.50 - $21.25/hr
Work with margin accounts and review buying power as well as maintenance levels. * Assist customers ... FINRA Series 7 & 63 or 66 licenses required. Preferred Qualifications * Ability to communicate ...
Portsmouth, NH · On-site
$75K/yr
Description We are seeking an experienced financial advisor to assist clients in designing and ... Series 7 and 66 • CPA license, or CFP (Certified Financial Planner license from Certified ...
Portsmouth, NH · On-site
$75K/yr
Description We are seeking an experienced financial advisor to assist clients in designing and ... Series 7 and 66 • CPA license, or CFP (Certified Financial Planner license from Certified ...
Des Moines, IA · On-site
$70K - $81K/yr
Have your FINRA Series 7 and 63 and a passion for serving others? Join our team of "crew" as a ... In this role, you will connect with clients via inbound phone calls to assist with their account ...
Des Moines, IA · On-site
$70K - $81K/yr
Have your FINRA Series 7 and 63 and a passion for serving others? Join our team of "crew" as a ... In this role, you will connect with clients via inbound phone calls to assist with their account ...
Madison, WI · On-site
$70K - $81K/yr
Have your FINRA Series 7 and 63 and a passion for serving others? Join our team of "crew" as a ... In this role, you will connect with clients via inbound phone calls to assist with their account ...
Madison, WI · On-site
$70K - $81K/yr
Have your FINRA Series 7 and 63 and a passion for serving others? Join our team of "crew" as a ... In this role, you will connect with clients via inbound phone calls to assist with their account ...
Atlanta, GA · On-site
$70K - $81K/yr
Have your FINRA Series 7 and 63 and a passion for serving others? Join our team of "crew" as a ... In this role, you will connect with clients via inbound phone calls to assist with their account ...
Atlanta, GA · On-site
$70K - $81K/yr
Have your FINRA Series 7 and 63 and a passion for serving others? Join our team of "crew" as a ... In this role, you will connect with clients via inbound phone calls to assist with their account ...
Tallahassee, FL · On-site
$70K - $81K/yr
Have your FINRA Series 7 and 63 and a passion for serving others? Join our team of "crew" as a ... In this role, you will connect with clients via inbound phone calls to assist with their account ...
Tallahassee, FL · On-site
$70K - $81K/yr
Have your FINRA Series 7 and 63 and a passion for serving others? Join our team of "crew" as a ... In this role, you will connect with clients via inbound phone calls to assist with their account ...
Tallahassee, FL · On-site
$70K - $81K/yr
Have your FINRA Series 7 and 63 and a passion for serving others? Join our team of "crew" as a ... In this role, you will connect with clients via inbound phone calls to assist with their account ...
Tallahassee, FL · On-site
$70K - $81K/yr
Have your FINRA Series 7 and 63 and a passion for serving others? Join our team of "crew" as a ... In this role, you will connect with clients via inbound phone calls to assist with their account ...
Atlanta, GA · On-site
$70K - $81K/yr
Have your FINRA Series 7 and 63 and a passion for serving others? Join our team of "crew" as a ... In this role, you will connect with clients via inbound phone calls to assist with their account ...
Atlanta, GA · On-site
$70K - $81K/yr
Have your FINRA Series 7 and 63 and a passion for serving others? Join our team of "crew" as a ... In this role, you will connect with clients via inbound phone calls to assist with their account ...
Miami, FL · On-site
$70K - $81K/yr
Have your FINRA Series 7 and 63 and a passion for serving others? Join our team of "crew" as a ... In this role, you will connect with clients via inbound phone calls to assist with their account ...
Miami, FL · On-site
$70K - $81K/yr
Have your FINRA Series 7 and 63 and a passion for serving others? Join our team of "crew" as a ... In this role, you will connect with clients via inbound phone calls to assist with their account ...
Salt Lake City, UT · On-site
$70K - $81K/yr
Have your FINRA Series 7 and 63 and a passion for serving others? Join our team of "crew" as a ... In this role, you will connect with clients via inbound phone calls to assist with their account ...
Salt Lake City, UT · On-site
$70K - $81K/yr
Have your FINRA Series 7 and 63 and a passion for serving others? Join our team of "crew" as a ... In this role, you will connect with clients via inbound phone calls to assist with their account ...
Nashville, TN · On-site
$70K - $81K/yr
Have your FINRA Series 7 and 63 and a passion for serving others? Join our team of "crew" as a ... In this role, you will connect with clients via inbound phone calls to assist with their account ...
Nashville, TN · On-site
$70K - $81K/yr
Have your FINRA Series 7 and 63 and a passion for serving others? Join our team of "crew" as a ... In this role, you will connect with clients via inbound phone calls to assist with their account ...
Active Series 7, 63 and 65 or Series 7 and 66, or successful completion of Series 7 and Series 66 ... Branch Manager and dotted line to the Assistant Complex Manager WHAT YOU CAN EXPECT FROM MORGAN ...
Active Series 7, 63 and 65 or Series 7 and 66, or successful completion of Series 7 and Series 66 ... Branch Manager and dotted line to the Assistant Complex Manager WHAT YOU CAN EXPECT FROM MORGAN ...
| Aspect | Assistant Series 7 | Financial Advisor |
|---|---|---|
| Certifications | Series 7, Series 63/66 (often) | Series 7, Series 66, CFP (optional) |
| Work Environment | Support role in brokerage firms | Client-facing, advisory role |
| Industry Usage | Assists licensed brokers | Provides financial planning and investment advice |
The Assistant Series 7 typically supports licensed brokers in executing trades and administrative tasks, requiring Series 7 and possibly Series 63/66 certifications. In contrast, a Financial Advisor directly interacts with clients, offering personalized financial planning and investment advice, often holding additional certifications like CFP. While both roles operate within the financial services industry, their responsibilities and client engagement levels differ significantly.
$55K - $65K/yr
Full-time
Medical, Dental, Vision, Life, Retirement
Posted 27 days ago
Looking for Registered Field Assistant with at least 5 years of brokerage experience (not in banking sector). Must have at least Series 6 but Series 7 preferred and a Bachelors Degree. Will be responsible for opening and servicing brokerage, advisory and 529 accounts, and will serve as a primary point of contact for our high net worth clients. Will also be responsible for running a vast variety of reports, including RMDs, maintaining RedTail CRM and creating and maintaining systems so organization and Excel skills is a must. This is a small, close-knit family so the most important attribute is a positive attitude and team player. We are a one-stop shop offering comprehensive financial planning, therefore, employees are each cross-trained and have a unique opportunity to learn all aspects of the industry.
