Grand Rapids, MI · On-site
$100K/yr (+ commission)
We provide comprehensive training, one-on-one mentorship, and sponsorship for FINRA Series 7 and Series 66 licensing to help you build the knowledge and confidence needed to succeed. At Principal ...
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Grand Rapids, MI · On-site
$100K/yr (+ commission)
We provide comprehensive training, one-on-one mentorship, and sponsorship for FINRA Series 7 and Series 66 licensing to help you build the knowledge and confidence needed to succeed. At Principal ...
Kalamazoo, MI · On-site
$76K/yr (+ commission)
What We Offer - Sponsorship for FINRA Series 7 and Series 66 licensing - Comprehensive training and onboarding program - Mentorship from experienced financial professionals - AI-powered prospecting ...
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Kalamazoo, MI · On-site
$76K/yr (+ commission)
What We Offer - Sponsorship for FINRA Series 7 and Series 66 licensing - Comprehensive training and onboarding program - Mentorship from experienced financial professionals - AI-powered prospecting ...
Fort Lauderdale, FL · On-site
$70 - $90/hr
FINRA Registrations: SIE and Series 99 - may obtain Series 7 and Series 66 * Strong attention to detail and accuracy * Ability to navigate multiple computer systems, applications, and utilize search ...
Fort Lauderdale, FL · On-site
$70 - $90/hr
FINRA Registrations: SIE and Series 99 - may obtain Series 7 and Series 66 * Strong attention to detail and accuracy * Ability to navigate multiple computer systems, applications, and utilize search ...
FINRA SIE & Series 99 or ability to obtain within 1 year * Excellent analytical skills with meticulous attention to detail. * Ability to analyze processes and improve efficiency of procedures.
FINRA SIE & Series 99 or ability to obtain within 1 year * Excellent analytical skills with meticulous attention to detail. * Ability to analyze processes and improve efficiency of procedures.
FINRA Series 99 License required within 120 days of start date. Preferred Qualifications, Capabilities, and Skills * Experience with advanced data analysis tools (e.g., Alteryx, Tableau, LLM Suite)
FINRA Series 99 License required within 120 days of start date. Preferred Qualifications, Capabilities, and Skills * Experience with advanced data analysis tools (e.g., Alteryx, Tableau, LLM Suite)
Leawood, KS · On-site
$18.75 - $24.25/hr
FINRA Registration: SIE and Series 99 required (Within 6 months of hire) * Brokerage operations experience * Strong attention to detail and accuracy * Intermediate Microsoft Office skills * Ability ...
Leawood, KS · On-site
$18.75 - $24.25/hr
FINRA Registration: SIE and Series 99 required (Within 6 months of hire) * Brokerage operations experience * Strong attention to detail and accuracy * Intermediate Microsoft Office skills * Ability ...
WI · On-site
$70 - $110/hr
FINRA Series 99 License required within 120 days of start date. Preferred Qualifications, Capabilities, and Skills * Experience with advanced data analysis tools (e.g., Alteryx, Tableau, LLM Suite)
WI · On-site
$70 - $110/hr
FINRA Series 99 License required within 120 days of start date. Preferred Qualifications, Capabilities, and Skills * Experience with advanced data analysis tools (e.g., Alteryx, Tableau, LLM Suite)
Newark, DE · On-site
$90 - $120/hr
FINRA Series 99 License required within 120 days of start date. Preferred Qualifications, Capabilities, and Skills * Experience with advanced data analysis tools (e.g., Alteryx, Tableau, LLM Suite)
Newark, DE · On-site
$90 - $120/hr
FINRA Series 99 License required within 120 days of start date. Preferred Qualifications, Capabilities, and Skills * Experience with advanced data analysis tools (e.g., Alteryx, Tableau, LLM Suite)
FINRA Series 99 License required within 120 days of start date. Preferred Qualifications, Capabilities, and Skills * Experience with advanced data analysis tools (e.g., Alteryx, Tableau, LLM Suite)
FINRA Series 99 License required within 120 days of start date. Preferred Qualifications, Capabilities, and Skills * Experience with advanced data analysis tools (e.g., Alteryx, Tableau, LLM Suite)
FINRA Series 99 License required within 120 days of start date. Preferred Qualifications, Capabilities, and Skills * Experience with advanced data analysis tools (e.g., Alteryx, Tableau, LLM Suite)
FINRA Series 99 License required within 120 days of start date. Preferred Qualifications, Capabilities, and Skills * Experience with advanced data analysis tools (e.g., Alteryx, Tableau, LLM Suite)
Newark, DE · On-site
Ability to obtain, retain, or successfully transfer Series 99 registration as required by FINRA and applicable state requirements (You will have 90 days to obtain the series 99 license if you do not ...
Newark, DE · On-site
Ability to obtain, retain, or successfully transfer Series 99 registration as required by FINRA and applicable state requirements (You will have 90 days to obtain the series 99 license if you do not ...
Leawood, KS · On-site
$18.75 - $24.25/hr
FINRA Registration: SIE and Series 99 required (Within 6 months of hire) * Brokerage operations experience * Strong attention to detail and accuracy * Intermediate Microsoft Office skills * Ability ...
Quick apply
Leawood, KS · On-site
$18.75 - $24.25/hr
FINRA Registration: SIE and Series 99 required (Within 6 months of hire) * Brokerage operations experience * Strong attention to detail and accuracy * Intermediate Microsoft Office skills * Ability ...
Newark, DE · On-site
Ability to obtain, retain, or successfully transfer Series 99 registration as required by FINRA and applicable state requirements (You will have 90 days to obtain the series 99 license if you do not ...
Newark, DE · On-site
Ability to obtain, retain, or successfully transfer Series 99 registration as required by FINRA and applicable state requirements (You will have 90 days to obtain the series 99 license if you do not ...
Boston, MA · On-site
$25 - $48.56/hr
FINRA Series 99, 79, or 52. Experience supporting capital markets transaction-related activities. Experience working in DealCloud, Box.com, Microsoft Office Suite. Exposure to governance, risk ...
Boston, MA · On-site
$25 - $48.56/hr
FINRA Series 99, 79, or 52. Experience supporting capital markets transaction-related activities. Experience working in DealCloud, Box.com, Microsoft Office Suite. Exposure to governance, risk ...
Newark, DE · On-site
Ability to obtain, retain, or successfully transfer Series 99 registration as required by FINRA and applicable state requirements (You will have 90 days to obtain the series 99 license if you do not ...
Newark, DE · On-site
Ability to obtain, retain, or successfully transfer Series 99 registration as required by FINRA and applicable state requirements (You will have 90 days to obtain the series 99 license if you do not ...
Indianapolis, IN · On-site
$76K/yr (+ commission)
We provide comprehensive training, one-on-one mentorship, and sponsorship for FINRA Series 7 and Series 66 licensing to help you build the knowledge and confidence needed to succeed. At Principal ...
Quick apply
Indianapolis, IN · On-site
$76K/yr (+ commission)
We provide comprehensive training, one-on-one mentorship, and sponsorship for FINRA Series 7 and Series 66 licensing to help you build the knowledge and confidence needed to succeed. At Principal ...
FINRA SIE and Series 99 license required Location: Fairfield, IA or Phoenix, AZ, - Hybrid in-office 3 days/week Salary Range: $67,000-82,000 Why Cambridge? Cambridge has competitive benefits and ...
FINRA SIE and Series 99 license required Location: Fairfield, IA or Phoenix, AZ, - Hybrid in-office 3 days/week Salary Range: $67,000-82,000 Why Cambridge? Cambridge has competitive benefits and ...
Jericho, NY · On-site
$55K - $65K/yr
FINRA Registrations: SIE and Series 99 or Series 7 and 63 * Strong attention to detail and accuracy * Ability to navigate multiple computer systems, applications, and utilize search tools to find ...
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Jericho, NY · On-site
$55K - $65K/yr
FINRA Registrations: SIE and Series 99 or Series 7 and 63 * Strong attention to detail and accuracy * Ability to navigate multiple computer systems, applications, and utilize search tools to find ...
Bala Cynwyd, PA · On-site +1
Complete 12 months as entry level Financial Professional meeting requirements including licensing: State Life and Health, SIE, FINRA Series 7, 66 and have a developed client base * Must pass FINRA ...
Bala Cynwyd, PA · On-site +1
Complete 12 months as entry level Financial Professional meeting requirements including licensing: State Life and Health, SIE, FINRA Series 7, 66 and have a developed client base * Must pass FINRA ...
Tampa, FL · On-site +1
Complete 12 months as entry level Financial Professional meeting requirements including licensing: State Life and Health, SIE, FINRA Series 7, 66 and have a developed client base * Must pass FINRA ...
Tampa, FL · On-site +1
Complete 12 months as entry level Financial Professional meeting requirements including licensing: State Life and Health, SIE, FINRA Series 7, 66 and have a developed client base * Must pass FINRA ...
$10.10 - $12.89
3% of jobs
$12.89 - $15.69
12% of jobs
$16.90 is the 25th percentile. Wages below this are outliers.
$15.69 - $18.49
23% of jobs
The median wage is $19.83 / hr.
$18.49 - $21.28
24% of jobs
$23.58 is the 75th percentile. Wages above this are outliers.
$21.28 - $24.08
15% of jobs
$24.08 - $26.88
10% of jobs
$26.88 - $29.68
6% of jobs
$29.68 - $32.47
2% of jobs
$32.47 - $35.27
2% of jobs
$35.27 - $38.07
1% of jobs
$38.07 - $40.87
1% of jobs
$10
$22
$40
| Aspect | Entry Level Finra Series 99 | Entry Level Finra Series 7 |
|---|---|---|
| Certifications | Series 99 | Series 7 |
| Work Environment | Operations, compliance, back-office | Sales, client interactions, securities trading |
| Employer & Industry Usage | Broker-dealers, compliance firms | Broker-dealers, securities firms |
| Common Search & Comparison | Yes | Yes |
The Entry Level Finra Series 99 focuses on operations and compliance roles within broker-dealers, requiring knowledge of back-office procedures. In contrast, the Entry Level Finra Series 7 prepares individuals for client-facing roles involving securities trading and sales. While both certifications are essential in the securities industry, they serve different functions and career paths, with Series 99 emphasizing operational support and Series 7 emphasizing sales and trading activities.
Cities with the most Entry Level Finra Series 99 job openings:
The most popular types of Finra Series 99 jobs are:
States with the most job openings for Entry Level Finra Series 99 jobs include:
The top searched job categories for Entry Level Finra Series 99 jobs are:
$100K/yr (+ commission)
Full-time
Retirement
Re-posted 11 days ago
Complete a structured training program focused on financial planning, business development, and client relationship management
Provide exceptional service and ongoing support while building trust and establishing yourself as a valued financial resource
Utilize digital tools and data insights to prepare for client meetings and deliver personalized financial guidance
8.6
Based on 58 frontline employees who took The Breakroom Quiz
94th of 315 rated insurance
$50,000 - $100,000 at plan
You’ll join a nationwide network of affiliated financial professionals partnering with Principal, with the autonomy to grow your practice your way. Principal is a recognized leader in solutions for small and mid-sized businesses, offering expertise in retirement, employee benefits, business protection, and asset management.
We understand every practice is unique. That’s why we offer flexible affiliation options, along with a variety of team structures and benefit choices—all backed by robust resources, technology, and support. Our model delivers the backing of an established firm with a payout structure that reflects an independent approach.
And just as we help businesses provide meaningful benefits, we do the same for you—offering more than traditional compensation, with support designed to help you grow and succeed long term.
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