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Finra License Jobs in Indiana (NOW HIRING)

Raymondjames

Branch Operations Manager

Greenwood, IN · On-site

Coordinates registrations, continuing education, licensing, etc. of branch personnel. * Performs ... FINRA), s7 - General Securities Representative Examination - Financial Industry Regulatory ...

Raymondjames

Branch Operations Manager

Greenwood, IN · On-site

Coordinates registrations, continuing education, licensing, etc. of branch personnel. * Performs ... FINRA), s7 - General Securities Representative Examination - Financial Industry Regulatory ...

Bankers Life

Wealth Management Trainee

Richmond, IN · On-site

$38K - $46K/yr

... FINRA) that is a required first step for individuals seeking to become Financial Advisors. Additional licensing exams are required to become a Financial Advisor. Why Join Us? * Top-tier training with ...

Bankers Life

Wealth Management Trainee

Carmel, IN · On-site

$42K - $51K/yr

... FINRA) that is a required first step for individuals seeking to become Financial Advisors. Additional licensing exams are required to become a Financial Advisor. Why Join Us? * Top-tier training with ...

Bankers Life

Wealth Management Trainee

Pendleton, IN · On-site

$41K - $50K/yr

... FINRA) that is a required first step for individuals seeking to become Financial Advisors. Additional licensing exams are required to become a Financial Advisor. Why Join Us? * Top-tier training with ...

Bankers Life

Wealth Management Trainee

Noblesville, IN · On-site

$39K - $48K/yr

... FINRA) that is a required first step for individuals seeking to become Financial Advisors. Additional licensing exams are required to become a Financial Advisor. Why Join Us? * Top-tier training with ...

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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?

AspectFinra LicenseStock Broker
Required CredentialsFinra licenses (e.g., Series 7, Series 63)Series 7 license, registration with Finra
Work EnvironmentFinancial firms, compliance rolesBrokerage firms, client-facing sales
Employer & Industry UsageFinancial regulatory bodies, firmsBrokerage firms, investment companies
Common Search & ComparisonYesYes

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 Indiana?

For Finra License jobs in Indiana, the most frequently searched job titles are:

What job categories do people searching Finra License jobs in Indiana look for?

The top searched job categories for Finra License jobs in Indiana are:

What cities in Indiana are hiring for Finra License jobs?

Cities in Indiana with the most Finra License job openings:

Finra License jobs near you
Infographic showing various Finra License job openings in Indiana as of August 2026, with employment types broken down into 100% Full Time. Highlights an 67% In-person, and 33% Hybrid job distribution.

Regional Manager HFA and Preferred Banking

Huntington

Indianapolis, IN • On-site, Remote

Full-time

Re-posted 8 days ago

Huntington National Bank rating

8.1

Company rating: 8.1 out of 10

Based on 174 frontline employees who took The Breakroom Quiz

67th of 175 rated banks

Job description

Description Summary: The Regional Manager - HFA & Preferred Banking is a strategic leadership role responsible for managing a team of Licensed Preferred Bankers and Financial Advisors across a Retail Banking branch network. This role oversees regional sales activities, regulatory compliance, operational execution, and client relationship management, ensuring delivery of comprehensive financial solutions including planning, advisory, brokerage, and insurance services. The manager fosters collaboration across business lines and drives performance through coaching, development, and strategic direction.

Duties and Responsibilities: Lead, motivate, and develop a high-performing team of Licensed Preferred Bankers and Financial Advisors through coaching, mentoring, and goal setting. Oversee regional sales strategies and ensure alignment with corporate objectives and client needs. Ensure compliance with all regulatory requirements and internal policies, maintaining a strong risk management culture.

Partner with internal stakeholders (Branch, Mortgage, Business Banking, Private Bank, etc.) to deepen client relationships and expand business opportunities. Actively recruit, onboard, and retain top talent in the financial services industry. Lead regional mass affluent banker and financial advisor expansion in alignment with retail branch, regional banking and wealth management growth

Provide legendary customer service and ensure all client interactions are suitable and in the client's best interest. Manage operational effectiveness of advisors and support staff, including Sales Support Managers and Client Relationship Specialists. Communicate strategic direction and program updates to executive leadership and cross-functional teams.

Supervise 20-30 FINRA registered representatives and associated support staff. Coordinate sales efforts with branch, OCR partners, and private bank regional leadership. Address and resolve customer complaints and escalate when necessary.

Maintain current knowledge of financial instruments, industry trends, and risk-related changes. Performs other duties as assigned. Basic Qualifications: Bachelor's Degree 5+ years of experience in the securities or banking industry.

3+ years of experience managing a team. Active Life and Health Insurance Licenses. FINRA Licenses: Series 7, 63/65 or 66, 24 Preferred Qualifications: Previous experience managing a team of Financial Advisors and/or Licensed Bankers Strong leadership, communication, and strategic planning skills.

Proven ability to drive sales performance and ensure compliance. Exempt Status: (Yes = not eligible for overtime pay) (No = eligible for overtime pay) Yes Workplace Type: Office Our Approach to Office Workplace Type Certain positions outside our branch network may be eligible for a flexible work arrangement. We're combining the best of both worlds: in-office and work from home.

Our approach enables our teams to deepen connections, maintain a strong community, and do their best work. Remote roles will also have the opportunity to come together in our offices for moments that matter. Specific work arrangements will be provided by the hiring team.

Huntington is an Equal Opportunity Employer. Tobacco-Free Hiring Practice: Visit Huntington's Career Web Site for more details. Note to Agency Recruiters: Huntington Bank will not pay a fee for any placement resulting from the receipt of an unsolicited resume.

All unsolicited resumes sent to any Huntington Bank colleagues, directly or indirectly, will be considered Huntington Bank property. Recruiting agencies must have a valid, written and fully executed Master Service Agreement and Statement of Work for consideration. Apply.

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