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Commission Series 7 Jobs (NOW HIRING)

M&T Bank

Junior Financial Advisor

Easton, MD · On-site

Series 7, 63, and 65/66 * Life/Variable Insurance Experience Required: * Bachelor's degree and a ... Compensation for this role is based on commission - a draw will be advanced. The successful ...

M&T Bank

Junior Financial Advisor

Easton, MD · On-site

Series 7, 63, and 65/66 * Life/Variable Insurance Experience Required: * Bachelor's degree and a ... Compensation for this role is based on commission - a draw will be advanced. The successful ...

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Commission Series 7 information

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$50K

$78.6K

$150K

How much do commission series 7 jobs pay per year?

As of Aug 8, 2026, the average yearly pay for commission series 7 in the United States is $78,587.00, according to ZipRecruiter salary data. Most workers in this role earn between $60,500.00 and $78,000.00 per year, depending on experience, location, and employer.

What is a Commission Series 7?

Commission Series 7 professionals are financial representatives who have passed the FINRA Series 7 exam, allowing them to sell a variety of securities, such as stocks, bonds, and mutual funds, and typically work on a commission basis. They are often referred to as registered representatives or stockbrokers. These professionals provide investment advice, execute trades, and help clients build and manage their portfolios. To maintain their license, they must comply with industry regulations and complete ongoing education requirements.

What are some common challenges faced by Commission Series 7 professionals, and how can they be addressed?

Commission Series 7 professionals, such as registered representatives or brokers, often face challenges related to maintaining compliance with industry regulations, building and sustaining a client base, and managing the pressure of meeting sales targets. Staying current with changing financial regulations and maintaining accurate records are essential for compliance. Building trust and strong relationships with clients helps in developing a sustainable business, while effective time management and goal setting can alleviate the pressures of a commission-driven environment. Continuous professional development and leveraging mentorship within the firm can also support ongoing success in this role.

What is the difference between Commission Series 7 vs Commission Series 66?

FeatureCommission Series 7Commission Series 66
Required CertificationsSeries 7 licenseSeries 66 license (often combined with Series 7)
Work EnvironmentBrokerage firms, securities salesFinancial advisory, investment consulting
Industry UsagePrimarily for securities sales and tradingFor investment advisor representatives and securities agents

The Series 7 license allows individuals to sell a wide range of securities, including stocks, bonds, and mutual funds. The Series 66 combines the Series 63 and 65 licenses, focusing on investment advisory and securities agent roles. While Series 7 is essential for securities sales, Series 66 is often required for those providing investment advice and financial planning. Understanding these differences helps professionals choose the right license for their career path in the securities industry.

What are the key skills and qualifications needed to thrive as a Commission Series 7 financial advisor?

To thrive as a Commission Series 7 Financial Advisor, you need a strong understanding of financial markets, investment products, and sales strategies, along with passing the FINRA Series 7 exam and often holding a relevant bachelor's degree. Familiarity with CRM software, financial planning tools, and compliance platforms is typically expected. Exceptional interpersonal skills, ethical judgment, and resilience in a competitive environment help individuals excel in this role. These competencies ensure you can effectively build client relationships, provide suitable financial advice, and comply with industry regulations.
What cities are hiring for Commission Series 7 jobs? Cities with the most Commission Series 7 job openings:
What are the most commonly searched types of Series 7 jobs? The most popular types of Series 7 jobs are:
What states have the most Commission Series 7 jobs? States with the most job openings for Commission Series 7 jobs include:
Commission Series 7 jobs near you

Client Service Specialist - AT Thriving Asset Management in Palo Alto, CA

Kestra Financial Independent Advisor

Palo Alto, CA • On-site

$20 - $26.50/hr

Full-time

Medical, Retirement

Re-posted 22 days ago

Job description

Client Service Specialist 5+ years of experience (licensed preferred but not required) Non -Sale and reports to and works with the CEO and Founder of Thriving Asset Management

  • Ongoing client servicing and relationship support
  • Handling account maintenance, transfers, paperwork
  • Responding to client inquiries
  • Supporting the lead advisor
  • Serves as a primary point of contact for client service needs
  • Process account opening, transfers and maintenance
  • Handle client inquiries requiring Series /63 licensing
  • Supports advisor with client follow-up and documentation

This role is NOT

  • A sales position
  • A business development role
  • An advisor-track position

Requirements

  • Active Series 7 and 63 licenses (preferred but not required)
  • 5+ years of experience in a client service or operations role in financial services
  • Strong attention to detail and client communication skills

Benefits

  • Competitive salary 85-95K based on experience (no commission-based pressure) including benefits (health and retirement)
  • Stable, long-term career path in client service
  • Collaborative team environment

Apply