Wealth Management Associate
Mobile, AL · On-site
You will be required to attain state life and health licenses, SIE, FINRA Series 7 and 66 licenses (other designations a plus) * Ability to draw upon past/present experiences and acquaintances to ...
Wealth Management Associate
Mobile, AL · On-site
You will be required to attain state life and health licenses, SIE, FINRA Series 7 and 66 licenses (other designations a plus) * Ability to draw upon past/present experiences and acquaintances to ...
You will be required to attain state life and health licenses, SIE, FINRA Series 7 and 66 licenses (other designations a plus) * Ability to draw upon past/present experiences and acquaintances to ...
You will be required to attain state life and health licenses, SIE, FINRA Series 7 and 66 licenses (other designations a plus) * Ability to draw upon past/present experiences and acquaintances to ...
Financial Industry Regulatory Authority (FINRA) Licenses Skills and Competencies * Ability to mentor and train junior associates * Ability to research, analyze data, and derive facts * Ability to ...
Financial Industry Regulatory Authority (FINRA) Licenses Skills and Competencies * Ability to mentor and train junior associates * Ability to research, analyze data, and derive facts * Ability to ...
Financial Industry Regulatory Authority (FINRA) Licenses Skills and Competencies * Ability to mentor and train junior associates * Ability to research, analyze data, and derive facts * Ability to ...
Financial Industry Regulatory Authority (FINRA) Licenses Skills and Competencies * Ability to mentor and train junior associates * Ability to research, analyze data, and derive facts * Ability to ...
Insurance and Financial Services Position - State Farm Team Member
Athens, AL · On-site
$30K - $70K/yr
Licenses in insurance and FINRA Series 7 and 63 preferred.
Quick apply
Insurance and Financial Services Position - State Farm Team Member
Athens, AL · On-site
$30K - $70K/yr
Licenses in insurance and FINRA Series 7 and 63 preferred.
Series 7 Tutor
Birmingham, AL · Remote
$30 - $40/hr
... FINRA practice examinations, flashcard-based formula review, and case study analysis to support financial services professionals preparing for securities registration licensure. * Effective Teaching ...
Series 7 Tutor
Birmingham, AL · Remote
$30 - $40/hr
... FINRA practice examinations, flashcard-based formula review, and case study analysis to support financial services professionals preparing for securities registration licensure. * Effective Teaching ...
Series 7 Tutor
Tuscaloosa, AL · Remote
$30 - $40/hr
... FINRA practice examinations, flashcard-based formula review, and case study analysis to support financial services professionals preparing for securities registration licensure. * Effective Teaching ...
Series 7 Tutor
Tuscaloosa, AL · Remote
$30 - $40/hr
... FINRA practice examinations, flashcard-based formula review, and case study analysis to support financial services professionals preparing for securities registration licensure. * Effective Teaching ...
Series 7 Tutor
Huntsville, AL · Remote
$30 - $40/hr
... FINRA practice examinations, flashcard-based formula review, and case study analysis to support financial services professionals preparing for securities registration licensure. * Effective Teaching ...
Series 7 Tutor
Huntsville, AL · Remote
$30 - $40/hr
... FINRA practice examinations, flashcard-based formula review, and case study analysis to support financial services professionals preparing for securities registration licensure. * Effective Teaching ...
Series 7 Tutor
Montgomery, AL · Remote
$30 - $40/hr
... FINRA practice examinations, flashcard-based formula review, and case study analysis to support financial services professionals preparing for securities registration licensure. * Effective Teaching ...
Series 7 Tutor
Montgomery, AL · Remote
$30 - $40/hr
... FINRA practice examinations, flashcard-based formula review, and case study analysis to support financial services professionals preparing for securities registration licensure. * Effective Teaching ...
FINRA Series 6/7 and 63/66 licenses preferred (sponsorship and support available if not currently held) * Demonstrated success in client development, planning, and relationship management
FINRA Series 6/7 and 63/66 licenses preferred (sponsorship and support available if not currently held) * Demonstrated success in client development, planning, and relationship management
FINRA Series 6/7 and 63/66 licenses preferred (sponsorship and support available if not currently held) * Demonstrated success in client development, planning, and relationship management
FINRA Series 6/7 and 63/66 licenses preferred (sponsorship and support available if not currently held) * Demonstrated success in client development, planning, and relationship management
Managing Director
Homewood, AL · On-site
FINRA Series 6/7 and 63/66 licenses preferred (sponsorship and support available if not currently held) * Demonstrated success in client development, planning, and relationship management
Managing Director
Homewood, AL · On-site
FINRA Series 6/7 and 63/66 licenses preferred (sponsorship and support available if not currently held) * Demonstrated success in client development, planning, and relationship management
Managing Director
Huntsville, AL · On-site
FINRA Series 6/7 and 63/66 licenses preferred (sponsorship and support available if not currently held) * Demonstrated success in client development, planning, and relationship management
Managing Director
Huntsville, AL · On-site
FINRA Series 6/7 and 63/66 licenses preferred (sponsorship and support available if not currently held) * Demonstrated success in client development, planning, and relationship management
FINRA Series 6/7 and 63/66 licenses preferred (sponsorship and support available if not currently held) * Demonstrated success in client development, planning, and relationship management
FINRA Series 6/7 and 63/66 licenses preferred (sponsorship and support available if not currently held) * Demonstrated success in client development, planning, and relationship management
Managing Director
Prattville, AL · On-site
FINRA Series 6/7 and 63/66 licenses preferred (sponsorship and support available if not currently held) * Demonstrated success in client development, planning, and relationship management
Quick apply
Managing Director
Prattville, AL · On-site
FINRA Series 6/7 and 63/66 licenses preferred (sponsorship and support available if not currently held) * Demonstrated success in client development, planning, and relationship management
FINRA Series 6/7 and 63/66 licenses preferred (sponsorship and support available if not currently held) * Demonstrated success in client development, planning, and relationship management
New
FINRA Series 6/7 and 63/66 licenses preferred (sponsorship and support available if not currently held) * Demonstrated success in client development, planning, and relationship management
New
Managing Director
Wetumpka, AL · On-site
FINRA Series 6/7 and 63/66 licenses preferred (sponsorship and support available if not currently held) * Demonstrated success in client development, planning, and relationship management
Managing Director
Wetumpka, AL · On-site
FINRA Series 6/7 and 63/66 licenses preferred (sponsorship and support available if not currently held) * Demonstrated success in client development, planning, and relationship management
FINRA Series 6/7 and 63/66 licenses preferred (sponsorship and support available if not currently held) * Demonstrated success in client development, planning, and relationship management
FINRA Series 6/7 and 63/66 licenses preferred (sponsorship and support available if not currently held) * Demonstrated success in client development, planning, and relationship management
Managing Director
Meridianville, AL · On-site
FINRA Series 6/7 and 63/66 licenses preferred (sponsorship and support available if not currently held) * Demonstrated success in client development, planning, and relationship management
Quick apply
Managing Director
Meridianville, AL · On-site
FINRA Series 6/7 and 63/66 licenses preferred (sponsorship and support available if not currently held) * Demonstrated success in client development, planning, and relationship management
Managing Director
Huntsville, AL · On-site
$100 - $150/hr
FINRA Series 6/7 and 63/66 licenses preferred (sponsorship and support available if not currently held) * Demonstrated success in client development, planning, and relationship management
Managing Director
Huntsville, AL · On-site
$100 - $150/hr
FINRA Series 6/7 and 63/66 licenses preferred (sponsorship and support available if not currently held) * Demonstrated success in client development, planning, and relationship management
Finra License information
What is a FINRA license?
A FINRA license is a certification granted by the Financial Industry Regulatory Authority (FINRA) that allows individuals to engage in specific securities-related activities, such as selling stocks, bonds, or giving investment advice. To obtain a FINRA license, candidates must pass qualifying exams such as the Series 7 or Series 63, depending on their desired role. These licenses help ensure that financial professionals meet industry standards and comply with regulations to protect investors. Maintaining a FINRA license often requires continuing education and adherence to ethical guidelines.
What are the key skills and qualifications needed to thrive in a FINRA-licensed financial professional role, and why are they important?
To thrive as a FINRA-licensed financial professional, you need a deep understanding of financial products, securities regulations, and ethical sales practices, typically supported by passing FINRA exams such as the Series 7 or Series 63. Proficiency with financial software platforms, compliance tools, and CRM systems is also essential for day-to-day operations. Strong interpersonal skills, attention to detail, and integrity help build client trust and ensure regulatory compliance. These skills are vital for managing client portfolios effectively, maintaining compliance, and succeeding in a highly regulated financial services environment.
What are some common challenges candidates face when preparing for FINRA licensing exams, and how can they overcome them?
Many candidates find the breadth of material covered in FINRA licensing exams, such as the Series 7 or Series 63, to be challenging, especially if they are new to financial regulations or securities products. Time management is crucial, as balancing study schedules with work or other responsibilities can be difficult. To overcome these challenges, candidates are encouraged to use structured study programs, take practice exams, join study groups, and leverage official FINRA resources. Seeking guidance from colleagues or mentors who have recently passed the exams can also provide practical insights and moral support.
What is the difference between Finra License vs Stock Broker?
| Aspect | Finra License | Stock Broker |
|---|---|---|
| Required Credentials | Finra licenses (e.g., Series 7, Series 63) | Series 7 license, registration with Finra |
| Work Environment | Financial firms, compliance roles | Brokerage firms, client-facing sales |
| Employer & Industry Usage | Financial regulatory bodies, firms | Brokerage firms, investment companies |
| Common Search & Comparison | Yes | Yes |
The Finra License refers to the certifications required to work in various financial roles, including being a stock broker. A stock broker is a professional who holds these licenses and actively sells securities to clients. While the Finra License is a credential, the stock broker is a role that requires holding specific licenses like Series 7. Essentially, the Finra License enables someone to become a stock broker, making them closely related in the financial industry.
Is working for FINRA a good career?
Working in a FINRA-related role typically involves regulatory compliance, securities oversight, or industry enforcement, requiring knowledge of financial regulations and licensing exams. It can offer stable employment, opportunities for advancement, and involvement in the financial industry, but job satisfaction depends on individual interests and career goals.
What can you do with a FINRA license?
A FINRA license allows individuals to work in securities and financial services, such as broker-dealers, investment firms, and financial advisory roles. It certifies that the holder has met industry standards and passed exams related to securities regulations, products, and ethics, enabling them to sell or recommend financial products and services. Maintaining the license often requires ongoing education and adherence to regulatory requirements.
What are popular job titles related to Finra License jobs in Alabama?
For Finra License jobs in Alabama, the most frequently searched job titles are:
What job categories do people searching Finra License jobs in Alabama look for?
The top searched job categories for Finra License jobs in Alabama are:
What cities in Alabama are hiring for Finra License jobs?
Cities in Alabama with the most Finra License job openings:
Equitable rating
8.2
Based on 22 frontline employees who took The Breakroom Quiz
Job description
Overview
At Equitable Advisors, your next chapter can start today. In the current economy, stability and financial freedom potential are two important factors that job seekers look for when searching for their ideal career. We are seeking highly motivated individuals to join our dynamic team in Atlanta, GA.
The Financial Professional career is a relationship-driven position that provides an opportunity to build meaningful relationships and help people make financial decisions towards a fulfilled life. We believe in teamwork, collaboration, and rewarding work. That is why we offer so many ways to strengthen relationships with colleagues, invest in yourself, be a trusted resource to clients and give back to the community. We have branches across the country employing approximately 4,300 financial professionals - providing services of financial, retirement, estate planning strategies’, asset allocation, annuities; life insurance and mutual funds as well as fee based managed accounts.
Responsibilities
Equitable Advisors is seeking entrepreneurial-oriented individuals to join our team as a Financial Professional. In that role, you will:
- Provide knowledgeable, objective financial guidance and customized strategies to consumer segments that demand high quality service
- Build and maintain client base, keeping client plans up-to-date and acquire new clients on an ongoing basis
- Contact clients periodically to determine if there have been changes in their financial status.
- Incorporate Holistic Life Planning and Financial Planning strategies to provide recommendations and sell appropriate financial products and services.
What it takes
- A four-year college degree
- You will be required to attain state life and health licenses, SIE, FINRA Series 7 and 66 licenses (other designations a plus)
- Ability to draw upon past/present experiences and acquaintances to develop markets and sustain long-term relationships
- Results-driven, highly motivated, self-starter who possesses integrity, a strong work ethic and the desire to help others plan for and protect their financial futures
Benefits and compensation
- Compensation you control and a comprehensive benefits package for eligible individuals
- Opportunity to work jointly with senior joint-work partners and to be coached by top performers
- Personalized and comprehensive training and support in all areas important to building your business
- A work-life balance and access to a full suite of remote-work technology solutions
- Advancement and management opportunities
You can build your career on your own terms. No one-track path. Note -- applicants must be authorized to work in the United States.
Equitable Advisors, LLC, (NY, NY 212-314-4600) member FINRA, SIPC (Equitable Financial Advisors in MI & TN) // Equitable Network, LLC // Equitable Network Insurance Agency of California, LLC; Equitable Network Insurance Agency of Utah, LLC; Equitable Network of Puerto Rico, Inc. Equal Opportunity Employers M/F/D/V.
GE- 7283422.1 (11/24) (Exp.11/26)
What Equitable employees say
Pay
Benefits
Hours and flexibility
Workplace
Get the full story on Breakroom
About Equitable
Sourced by ZipRecruiter
At Equitable, we're a team of over ten thousand strong; committed to helping our clients secure their financial well-being so that they can pursue long and fulfilling lives. We turn challenges into opportunities by thinking, working, and leading differently - where everyone is a leader. We encourage every employee to leverage their unique talents to become a force for good at Equitable and in their local communities. We are continuously investing in our people by offering growth, internal mobility, comprehensive compensation and benefits to support overall well-being, flexibility, and a culture of collaboration and teamwork. We are looking for talented, dedicated, purposeful people who want to make an impact. Join Equitable and pursue a career with purpose.
Industry
Finance and insurance
Company size
5,001 - 10,000 Employees
Headquarters location
New York, NY, US
Year founded
1859