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Broker Dealer Transition Jobs (NOW HIRING)

Integritymarketing

Transition Specialist

Dallas, TX

Our Broker Dealer, Brokers Financial, is looking for a Transition Specialist. The Transition Specialist is responsible for establishing a relationship with prospective representatives/advisors and be ...

Crowe LLP

Audit Senior Associate - Broker Dealer

New York, NY · Hybrid

$88K - $108K/yr

At Crowe, there is the opportunity to transition between different industry verticals within Audit ... A background with experience in external audit working with Broker Dealer clients. * Organization ...

Crowe LLP

Audit Senior Associate - Broker Dealer

New York, NY · On-site

$88K - $108K/yr

At Crowe, there is the opportunity to transition between different industry verticals within Audit ... A background with experience in external audit working with Broker Dealer clients. * Organization ...

Atrium

Regulatory Reporting Director

Manhattan, NY · On-site

$165K - $218K/yr

Experience with broker-dealer transitions to self-clearing or clearing-broker regulatory reporting. * Familiarity with FOCUS Reports and exemption reports. Education Requirements * Bachelor's degree ...

LPL Financial

Transition Support Partner

Austin, TX · Remote

$30.70 - $51.15/hr

Your top priority will be to ensure the advisor/firm has a seamless transition from their prior broker dealer to LPL. Responsibilities: * Consult with prospective advisors to understand the unique ...

LPL Financial

Transition Support Partner

$30.70 - $51.15/hr

Your top priority will be to ensure the advisor/firm has a seamless transition from their prior broker dealer to LPL. Responsibilities: * Consult with prospective advisors to understand the unique ...

LPL Financial

Transition Support Partner

Fort Mill, SC · Remote

$30.70 - $51.15/hr

Your top priority will be to ensure the advisor/firm has a seamless transition from their prior broker dealer to LPL. Responsibilities: * Consult with prospective advisors to understand the unique ...

LPL Financial

Transition Support Partner

Tempe, AZ · Remote

$30.70 - $51.15/hr

Your top priority will be to ensure the advisor/firm has a seamless transition from their prior broker dealer to LPL. Responsibilities: * Consult with prospective advisors to understand the unique ...

LPL Financial

Transition Support Partner

Fort Mill, SC · On-site

$30.70 - $51.15/hr

Your top priority will be to ensure the advisor/firm has a seamless transition from their prior broker dealer to LPL. Responsibilities: * Consult with prospective advisors to understand the unique ...

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Broker Dealer Transition information

See salary details

$29.5K

$46.5K

$65.5K

How much do broker dealer transition jobs pay per year?

As of Sep 2, 2026, the average yearly pay for broker dealer transition in the United States is $46,480.00, according to ZipRecruiter salary data. Most workers in this role earn between $32,000.00 and $56,000.00 per year, depending on experience, location, and employer.

What is the difference between Broker Dealer Transition vs Registered Representative?

AspectBroker Dealer TransitionRegistered Representative
CertificationsSeries 7, Series 63/66, licensing for transitionSeries 7, Series 63/66, licensing required
Work EnvironmentInvolves firm changes, compliance, onboardingClient-facing sales, trading, and advisory roles
Employer & Industry UsageUsed during firm mergers, acquisitions, or transitionsEmployed by broker-dealers to sell securities
Search & Comparison IntentUnderstanding transition processes, career movesSales roles, licensing, client interaction

Broker Dealer Transition refers to the process of moving from one broker-dealer firm to another, often involving licensing and compliance steps. A Registered Representative is an individual licensed to sell securities and work directly with clients. While both roles require similar certifications, the transition focuses on firm changes, whereas the Registered Representative role emphasizes client sales and advisory services.

More about Broker Dealer Transition jobs

What cities are hiring for Broker Dealer Transition jobs?

Cities with the most Broker Dealer Transition job openings:

What states have the most Broker Dealer Transition jobs?

States with the most job openings for Broker Dealer Transition jobs include:

What job categories do people searching Broker Dealer Transition jobs look for?

The top searched job categories for Broker Dealer Transition jobs are:

Broker Dealer Transition jobs near you
Infographic showing various Broker Dealer Transition job openings in the United States as of August 2026, with employment types broken down into 1% As Needed, 85% Full Time, 10% Part Time, 1% Temporary, and 3% Contract. Highlights an 89% Physical, 3% Hybrid, and 8% Remote job distribution, with an average salary of $46,480 per year, or $22.3 per hour.

Transition Specialist

Integrity Marketing Group

Dallas, TX • On-site

Full-time

Medical, Dental, Vision, Life, Retirement, PTO

Re-posted 19 days ago

Integrity Marketing Group rating

7.7

Company rating: 7.7 out of 10

Based on 34 frontline employees who took The Breakroom Quiz

17th of 52 rated marketing agency

Job description

Our Broker Dealer, Brokers Financial, is looking for a Transition Specialist. The Transition Specialist is responsible for establishing a relationship with prospective representatives/advisors and be that go to person for their entire transition. This person would also help train the new representative/advisor on our systems and coordinate with each department for their proper training to create a smooth transition. The Transition Specialist would also be responsible for filing all license and state changes for all reps and the Firm.
Essential Job Functions
  • Become the main point of contact for any new reps/advisors to lead them through the on boarding process. Coordinate with business partners to ensure the best customer service to the new registered representative and advisors as well as establishing a training schedule for each of these departments to create a smooth and timely transition.
  • Assist the new reps and advisors with creating the appropriate form packets to move the book of business to Brokers Financial. Review newly submitted transitioning account packets for accuracy and completeness and forward appropriately for processing. Assist the transitioning advisor with the change of broker-dealer requests, including maintaining the tracking mechanism and forwarding appropriately for processing.
  • Create, implement, and maintain a tracking system for all new recruits. Create, implement, and maintain an onboarding process that provides the new representatives/advisors with the white glove service.
  • Update and maintain all forms with any required changes. Ensure new forms are updated for all locations including the website and workflow systems.
  • Maintain, update and file U-4 and U-5 information, the company's insurance license for all states and the company's annual reports for all states. Ensure timely filings.

Knowledge, Skills and Abilities
  • Ability to demonstrate our Core Values
  • Excellent oral and written skills
  • Self-starter
  • Must be analytical and detail oriented.
  • Ability to identify, weigh and convey potential risks.
  • Ability to communicate effectively with all levels of management.
  • Maintains high standards of confidentiality of all information.
  • Ability to work independently and in a team environment.

Experience and Education
  • Must possess strong technical knowledge and advanced understanding of SEC, FINRA, MSRB, and state securities regulations.
  • Associate's degree (A.A.) from a two-year college or university and one - three years related experience and/or training; or equivalent combination of education and experience.
  • FINRA Series 7 required within first 6 months of employment. Series 24 within 12 months of employment.

Benefits Available
  • Medical/Dental/Vision Insurance
  • 401(k) Retirement Plan
  • Paid Holidays
  • PTO
  • Community Service PTO
  • FSA/HSA
  • Life Insurance
  • Short-Term and Long-Term Disability

About Integrity
Integrity is one of the nation's leading independent distributors of life, health and wealth insurance products. With a strong insurtech focus, we embrace a broad and innovative approach to serving agents and clients alike. Integrity is driven by a singular purpose: to help people protect their life, health and wealth so they can prepare for the good days ahead.
Integrity offers you the opportunity to start a career in a family-like environment that is rewarding and cutting edge. Why? Because we put our people first! At Integrity, you can start a new career path at company you'll love, and we'll love you back. We're proud of the work we do and the culture we've built, where we celebrate your hard work and support you daily. Joining us means being part of a hyper-growth company with tons of professional opportunities for you to accelerate your career. Integrity offers our people a competitive compensation package, including benefits that make work more fun and give you and your family peace of mind.
Headquartered in Dallas, Texas, Integrity is committed to meeting Americans wherever they are - in person, over the phone or online. Integrity's employees support hundreds of thousands of independent agents who serve the needs of millions of clients nationwide. For more information, visit Integrity.com.
Integrity, LLC is an Equal Opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, gender identity, national origin, disability, veteran status, or any other characteristic protected by federal, state, or local law. In addition, Integrity, LLC will provide reasonable accommodations for qualified individuals with disabilities.

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