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Broker Dealer Transition Jobs (NOW HIRING)

SEI Investments

Senior Sales Executive

Oaks, PA · On-site +1

Ensure all sales processes are adhered to especially the transition to client onboarding * Maintain ... Number of new RIA, Broker-Dealer and Private Banking firms signed onto the Platform * Revenue ...

Farther

Senior Trading Associate

New York, NY · On-site

$16.50 - $19.75/hr

Support trade execution for advisors during large asset transitions, portfolio restructures, and ... Experience supporting both RIA trading environments and broker-dealer platforms. * Active or ...

Farther

Senior Trading Associate

Dallas, TX · On-site

$14.75 - $17.75/hr

Support trade execution for advisors during large asset transitions, portfolio restructures, and ... Experience supporting both RIA trading environments and broker-dealer platforms. * Active or ...

WSECU

Financial Advisor

Olympia, WA · Hybrid

$54K/yr

... year transition with a retiring Financial Advisor. As a Financial Advisor, you'll partner with ... Responding in a timely manner to all questions of suitability from Broker Dealer and OSJ * Keeping ...

Farther LLC

Senior Trading Associate

Dallas, TX · On-site

$15 - $18/hr

Support trade execution for advisors during large asset transitions, portfolio restructures, and ... Experience supporting both RIA trading environments and broker-dealer platforms. * Active or ...

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Showing results 41-60

All JobsBroker Dealer Transition Jobs

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 Aug 7, 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, and 4% Contract. Highlights an 91% Physical, 2% Hybrid, and 7% Remote job distribution, with an average salary of $46,480 per year, or $22.3 per hour.

Advisor Support Representative

TRC Talent Solutions

Saint Paul, MN • Hybrid

Full-time

Posted 11 days ago

Job description

TRC Talent Solutions in partnership with our client, is seeking driven individuals to join an extraordinary Financial Advisor Support team. If you excel in a fast-paced environment, love solving problems, and enjoy working collaboratively, this opportunity is perfect for you!

As a key team member, youll play a vital role in supporting Financial Advisors and colleagues with operational and transition activities. Your work will directly enhance service quality and operational efficiency. To set you up for success, you'll participate in a structured training program designed to equip you with the tools and expertise needed to excel. Working in a dynamic broker-dealer environment, you'll develop a strong understanding of financial products, compliance requirements, and operational processesskills that will propel your career in financial services!

  • Hybrid Schedule: 4 days onsite, 1 day remote.

  • Hours of Operation: 7:30 AM 7:30 PM (8-hour shifts).

  • Location: Oakdale, MN

Key Responsibilities:

  • Provide Support for Financial Advisors:

    • Respond promptly and accurately to advisor inquiries to ensure they can serve their clients effectively.

    • Troubleshoot and resolve operational challenges, including account setup, transaction processing, and service requests, by leveraging resources and collaborating with internal teams.

    • Conduct detailed research to address complex or escalated issues, delivering well-documented and actionable solutions.

    • Proactively identify trends or recurring issues and suggest process improvements to enhance the advisor experience.

    • Maintain an up-to-date understanding of company systems, processes, and financial products to deliver comprehensive support.

  • Ensure Compliance and Operational Excellence:

    • Support adherence to regulatory requirements and operational standards.

    • Assist in resolving compliance-related inquiries with precision and accuracy.

Requirements:

  • Minimum of 2 years of experience in financial services operations or within a broker-dealer environment.

  • Familiarity with CRM tools such as Salesforce.

  • Previous experience in a call center setting.

  • High school diploma or equivalent (GED) required.

Preferred Qualifications:

  • 4+ years of brokerage experience.

TRC Talent Solutions is proud to be an Equal Opportunity Employer (EOE). All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, age, national origin, protected veteran status, disability status, sexual orientation, gender identity or expression, marital status, genetic information, or any other characteristic protected by law. At TRC, we take pride in fulfilling our opportunity to add value to our client's business as their staffing partner, while working tirelessly to connect thousands of individuals each year with work opportunities where they can meet the needs of their families and have the potential to build their careers.
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