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Entry Level Finra Series 99 Jobs (NOW HIRING)

Copper.co

Client Operations Associate

New York, NY

Finra Series 99 Certified - Operations Professional Exam Why Copper? At Copper, we keep innovation, openness, and curiosity at the centre of everything we do. Here, bold ideas get the spotlight ...

Modera Wealth Management

Planning Associate

Wayne, PA · Hybrid

$60K - $85K/yr

... entry level to ownership. Since 1983, Modera has been committed to being an advisor firm, and not a ... Prepare for and pass the FINRA Series 65 within the mandated company timeline * Additional projects ...

Modera Wealth Management

Planning Associate

Plantation, FL · Hybrid

$60K - $85K/yr

... entry level to ownership. Since 1983, Modera has been committed to being an advisor firm, and not a ... Prepare for and pass the FINRA Series 65 within the mandated company timeline * Additional projects ...

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Entry Level Finra Series 99 information

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$22

$40

How much do entry level finra series 99 jobs pay per hour?

As of Aug 12, 2026, the average hourly pay for entry level finra series 99 in the United States is $22.40, according to ZipRecruiter salary data. Most workers in this role earn between $17.07 and $25.00 per hour, depending on experience, location, and employer.

What is the difference between Entry Level Finra Series 99 vs Entry Level Finra Series 7?

AspectEntry Level Finra Series 99Entry Level Finra Series 7
CertificationsSeries 99Series 7
Work EnvironmentOperations, compliance, back-officeSales, client interactions, securities trading
Employer & Industry UsageBroker-dealers, compliance firmsBroker-dealers, securities firms
Common Search & ComparisonYesYes

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.

What can you do with an entry level FINRA Series 99 license?

An entry-level FINRA Series 99 license qualifies individuals for roles such as operations associate, client services representative, or compliance support in financial firms. It demonstrates knowledge of firm operations, regulatory requirements, and industry procedures, often serving as a stepping stone to more advanced roles in securities operations and compliance.
More about Entry Level Finra Series 99 jobs
What cities are hiring for Entry Level Finra Series 99 jobs? Cities with the most Entry Level Finra Series 99 job openings:
What are the most commonly searched types of Finra Series 99 jobs? The most popular types of Finra Series 99 jobs are:
What states have the most Entry Level Finra Series 99 jobs? States with the most job openings for Entry Level Finra Series 99 jobs include:
What job categories do people searching Entry Level Finra Series 99 jobs look for? The top searched job categories for Entry Level Finra Series 99 jobs are:
Entry Level Finra Series 99 jobs near you
Infographic showing various Entry Level Finra Series 99 job openings in the United States as of August 2026, with employment types broken down into 84% Full Time, 12% Part Time, 1% Temporary, and 3% Contract. Highlights an 84% Physical, 4% Hybrid, and 12% Remote job distribution, with an average salary of $46,598 per year, or $22.4 per hour.

Branch Operations Specialist (Saddlebrook, NJ)

Oppenheimer

Saddle Brook, NJ

$50K - $60K/yr

Full-time

Re-posted 5 days ago

Job description

Who We Are:

Oppenheimer & Co. Inc. (Oppenheimer) is a leading middle-market investment bank and full-service broker-dealer. With roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services industry, including retail securities brokerage, institutional sales and trading, investment banking (both corporate and public finance), equity & fixed income research, market making, trust services and investment advisory and asset management services.

Job Description

The firm is seeking a Branch Operations Specialist to join their branch office in Saddlebrook, NJ or Florham Park, NJ. This role requires superior interpersonal skills as well as organizational and multi-tasking skill sets. The candidate should be able to operate independently as well as a member of a team under the leadership of the Branch Manager. This position will report to the National Branch Operations Administrator with secondary reporting to the Branch Manager.

Responsibilities

  • Assist in maintaining the day to day operations to ensure operational excellence
  • Support client onboarding process
  • Maintain and process documents
  • Assist with audit preparations
  • Communicate effectively and efficiently with home office personnel
  • Interact and support branch staff and all levels of management
  • Interact on routine/sensitive matters
  • Ensure that all documents are sent to home office in a timely manner
  • Cross training within other positions in the Operations area
  • Willing and able to take on additional tasks

Qualifications:

  • 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 to navigate multiple computer systems, applications, and utilize search tools to find information
  • Excellent verbal, written, and interpersonal communication skills
  • Effective organizational, multi-tasking, and prioritizing skills

Compensation

For job postings in New Jersey, Oppenheimer is required by law to include a reasonable estimate of the salary range for this role. This salary range is specific to the State of New Jersey and takes into account the wide range of factors that are considered in making salary decisions including but not limited to your skills, qualifications, experience, licensure and certifications, and other business and organizational needs. A reasonable estimate of the current base salary range is $50,000.00 - $60,000.00 at the time of this posting. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus.

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