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Finra License Jobs in Kentucky (NOW HIRING)

KeyCorp

$71.64/hr

... FINRA License S63 (required) FINRA Security Industry Essentials (SIE) (required) Life, Accident, and Health Insurance Licenses (required) Skills Is knowledgeable about the client's accounts and ...

NewEdge Capital Group

$100 - $140/hr

Required FINRA Licenses: FINRA Series 4, 7, 24, 53 and 63 #J-18808-Ljbffr

Wedbush Securities

$180 - $250/hr

FINRA License Sponsorship * Travel & Employee Assistance and Employee Discount Programs The reasonable estimate of the compensation range for this role has not been adjusted for the applicable ...

T. Rowe Price

$97 - $164/hr

FINRA Series 7 and 63 FINRA Requirements FINRA licenses are not required. Work Flexibility This role is eligible for hybrid work, with up to one day per week from home. Base Salary Ranges Please ...

Financial Industry Regulatory Authority, Inc.

$134 - $260/hr

A law degree and appropriately licensed to practice law in all applicable jurisdictions based on ... FINRA Securities Industry Essentials (SIE) certification or acceptable industry equivalent ...

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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 Kentucky?

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

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

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

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

SIMPLE IRA Specialist - FINRA LICENSE REQUIRED

ADP

Louisville, KY • On-site

$15.50 - $20.50/hr

Full-time

Re-posted 16 days ago

Job description

Unlock Your Career Potential: Customer Service at ADP. It's all about enabling our customers to be more effective employers. Our Customer Service team makes it happen by collaborating with customers and other ADP colleagues to ensure our products and services deliver winning results. Did you know that the vast majority of our customers are not only satisfied, they'd recommend ADP to someone else? You will be the one providing the on-the-spot support that makes our integrated solutions stand out in today's increasingly competitive global marketplace.
ADP is hiring an experienced SIMPLE IRA Specialist. In this position, you'll join a team of rock star professionals who are responsible for ensuring every customer interaction is a best-in-class experience. You'll combine a passion for service and discovering innovative solutions with our top-ranked training programs to help customers enjoy every drop of value within our products.
We strive for every interaction to be driven by our CORE values: Insightful Expertise, Integrity is Everything, Service Excellence, Inspiring Innovation, Each Person Counts, Results-Driven, and Social Responsibility.
RESPONSIBILITIES:
Serve as a subject matter expert in handling routine client requests for ADP clients
Resolve routine customer concerns with pre-defined solutions
Answer non-technical questions regarding ADP products
Provide consultation and help answer non-technical questions supporting less-experienced specialists on the team
Learn and navigate ADP systems in order to respond to issues
QUALIFICATIONS REQUIRED:
At least 2 years of previous experience
High School diploma
PREFERRED QUALIFICATIONS: Preference will be given to candidates who have the following:
  • Strong client relationship and interpersonal skills
  • Ability to troubleshoot and resolve customer complaints using pre-defined solutions
  • Demonstrated ability to learn and apply basic concepts in new situations
  • Organizational skills including the ability to multi-task, set priorities, and follow up in a timely manner
  • Ability to collaborate and work in a team environment as well as work independently and make sound decisions
  • Bachelor's degree
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About ADP

Sourced by ZipRecruiter

We're designing a better way to work, so you can achieve what you're working for. Consistently named one of the 'Most Admired Companies' by FORTUNE® Magazine, and recognized by DiversityInc® as one of the 'Top 50 Companies for Diversity,' ADP works with more than 740,000 organizations across the globe to help their people work smarter, embrace new challenges, and unleash their talent. "Always Designing for People" means we're creating platforms that will transform how great work gets done, so together we can unlock a world of opportunity.

Industry

Recruiting and staffing services

Company size

10,000+ Employees

Headquarters location

Roseland, NJ, US

Year founded

1949

Social media

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