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Entry Level Brokerage Firm Jobs (NOW HIRING)

Applegate Consulting

Inside Sales Agent

Denver, CO · On-site

Applegate Consulting, an independent brokerage firm, educates folks on their choices for health ... Brief Summary: * Entry level consulting position * One-on-one training, mentoring * Fast paced, fun ...

Applegate Consulting

Inside Sales Agent

Denver, CO · On-site

Applegate Consulting, an independent brokerage firm, educates folks on their choices for health ... Brief Summary: * Entry level consulting position * One-on-one training, mentoring * Fast paced, fun ...

Baldwin

Staff Accountant

Tampa, FL · On-site

$52K - $68K/yr

The Baldwin Group is an award-winning entrepreneur-led and inspired insurance brokerage firm ... entry-level to moderate complexity for both the month-end close and agency bill accounting teams.

The Baldwin Group

Staff Accountant

Tampa, FL · On-site

$52K - $68K/yr

The Baldwin Group is an award-winning entrepreneur-led and inspired insurance brokerage firm ... entry-level to moderate complexity for both the month-end close and agency bill accounting teams.

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Entry Level Brokerage Firm information

What are the key skills and qualifications needed to thrive as an Entry Level Brokerage Firm employee, and why are they important?

To thrive in an entry-level position at a brokerage firm, you need strong analytical abilities, foundational financial knowledge, and at least a bachelor's degree in finance, business, or a related field. Familiarity with trading platforms, financial analysis software, and possibly licenses such as the Series 7 or Series 63 is often required. Exceptional communication, attention to detail, and a proactive attitude help build client relationships and support team goals. These skills and qualifications are crucial for accurate trade execution, regulatory compliance, and establishing a successful career in the financial services industry.

What are some common challenges faced by entry-level professionals at a brokerage firm, and how can they overcome them?

Entry-level professionals at brokerage firms often encounter challenges such as mastering complex financial products, adapting to a fast-paced environment, and building a client base from scratch. To overcome these, it's important to actively seek mentorship from experienced colleagues, take advantage of on-the-job training programs, and continuously improve communication and sales skills. Establishing strong organizational habits and staying updated on market trends can also help new hires quickly build confidence and succeed in their roles.

What is the difference between Entry Level Brokerage Firm vs Entry Level Financial Advisor?

AspectEntry Level Brokerage FirmEntry Level Financial Advisor
Required CredentialsSeries 7, Series 63/66 (often required)Series 7, Series 66, CFP (preferred but not always required)
Work EnvironmentBrokerage offices, financial institutions, call centersClient meetings, financial planning firms, independent practices
Employer & Industry UsageFinancial services firms, brokerage housesFinancial planning firms, independent advisory practices
Common Search & ComparisonYesYes

Entry Level Brokerage Firm roles typically focus on executing trades and supporting clients within brokerage houses, requiring licenses like Series 7. Entry Level Financial Advisors often provide comprehensive financial planning and advice, with similar licensing but a broader focus on client relationships. While both roles require similar credentials and are found in the financial industry, they differ in daily responsibilities and client interaction scope.

What are entry level positions at a brokerage firm?

Entry level positions at a brokerage firm typically include roles such as brokerage assistant, client service representative, junior analyst, or trainee broker. These roles involve supporting senior brokers, assisting with client accounts, processing trades, conducting research, and learning about financial markets. Entry level employees receive on-the-job training and may need to obtain industry licenses, such as FINRA's Series 7, to advance in their careers. These positions are ideal for individuals interested in finance and looking to gain experience in the securities industry.
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Entry Level Brokerage Firm jobs near you
Infographic showing various Entry Level Brokerage Firm job openings in the United States as of June 2026, with employment types broken down into 97% Full Time, and 3% Contract. Highlights an 96% Physical, 1% Hybrid, and 3% Remote job distribution.

Boca Raton, Florida - Brokerage firm - Operations Associate at ViewTrade

ViewTrade

Boca Raton, FL • On-site

Full-time

Medical, Dental, Vision, Life, Retirement, PTO

Posted 8 days ago

Job description

ViewTrade Securities is currently looking for an Operations Associate for our Boca Raton, FL office.

We are seeking full time candidates ranging from entry level to general knowledge of all aspects of Operations processing with experience in the brokerage industry with a Series 7 License preferably, and Microsoft Excel and Outlook Organizational Skills.

Must possess strong professional communication skills; with the ability to develop positive working relationships and provide excellent customer service for both our national and international clients. Must be team oriented and work well under pressure, capable of working with multiple systems, must have high attention to detail, the ability to process work accurately and meet deadlines, ability to work independently and think critically exercising good judgment, excellent problem resolution, organizational, and follow-up skills are a must, and the ability to embrace change and work in a fast-paced environment.

Duties include, but not limited to:

  • New Account opening, updates, and closure.
  • Documentation processing, ACATs, etc.
  • Cash Disbursements; Checks, Journals, Wires, ACHs.
  • Securities Processing, Corp Actions, DTC, DRS, DWAC, etc.
  • Trading system monitoring, entering unsolicited trades when needed, and processing options exercising, etc.
  • Assist our team and clients in all operations related inquiries.
  • Provide operational reports.

At ViewTrade you will have a competitive salary, excellent benefit packages which include Health, Dental, Vision, Life Insurance and 401K Plan with employer match and paid time off.