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Finra License Jobs in Minnesota (NOW HIRING)

Wells Fargo

Branch Support Manager

Minneapolis, MN · On-site

Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position. FINRA Series 9/10 and 65 or 66 examinations, or equivalent must be completed within ...

Wells Fargo

Supervisory Control Associate

Minneapolis, MN · On-site

$68K - $104K/yr

Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position. Compliance with state law registration and licensing requirements is mandatory. In ...

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Wells Fargo

Branch Support Manager

Saint Paul, MN · On-site

Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position. FINRA Series 9/10 and 65 or 66 examinations, or equivalent must be completed within ...

Wells Fargo

Market Recruiting Manager

Minneapolis, MN · On-site

FINRA recognized equivalents will be accepted. * Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this ...

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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 Minnesota?

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

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

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

What cities in Minnesota are hiring for Finra License jobs?

Cities in Minnesota with the most Finra License job openings:

Finra License jobs near you
Infographic showing various Finra License job openings in Minnesota as of August 2026, with employment types broken down into 100% Full Time. Highlights an 74% In-person, and 26% Hybrid job distribution.

Customer Service Associate Licensed

Minneapolis, MN • On-site

Wells Fargo
Finance and Insurance • 10K+ employees

7.8

Company rating: 7.8 out of 10

Based on 709 frontline employees who took The Breakroom Quiz

88th of 173 rated banks

Good employer

Recommended by students

Paid breaks

Learn more about Wells Fargoexternal

$15.25 - $21/hr

Full-time

Medical, Life, Retirement, PTO

Re-posted 22 days ago

Job description

About this role:

Wells Fargo is seeking a Customer Service Associate Licensed to work for its Investment Contact Center (ICC). In this role, you will assist brokerage clients via telephone. You will facilitate trades, service accounts, and educate clients on various servicing matters, including navigation of the wfa.com public and secure website. Successful employees act as front-line problem solvers, speak to trading strategies, have a strong understanding of investment market terminology, and possess a solid understanding of fundamental and technical facts affecting the market. This position requires securities licensing, specifically Financial Industry Regulatory Authority (FINRA) Series 7 and 63 or 7 and 66 (or FINRA-recognized equivalents) to qualify for immediate FINRA registration.

In this role, you will:

  • Work within a contact center environment to execute and confirm routine securities transactions initiated by customers.

  • Provide quality customer service addressing issues, trading strategies, market terminology and account status

  • Identify and recommend opportunities for process improvement and risk control development

  • Serve as subject matter expert for the securities market

  • Understand fundamental and technical information affecting the market

  • Make decisions and resolve issues to meet business objectives

  • Interpret policies, procedures, and compliance requirements

  • Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals

  • Interact with internal customers

  • Exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements


Required Qualifications:

  • 6+ months of Customer Service - Licensed experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education.

  • Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63(or 66) examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration


Desired Qualifications:

  • Ability to navigate multiple computer system windows, applications, and search tools

  • Intermediate Microsoft Office skills

  • Good attention to detail and accuracy skills

  • Excellent verbal, written, and interpersonal communication skills

  • Ability to use empathy to understand client concerns, questions, and problems pertaining to financial transactions

  • Trading experience

  • Brokerage industry experience

  • Contact center experience

  • Ability to process complex transactions and perform extensive research to resolve complex customer issues

  • Ability to discuss digital enhancements to providea betterclient experience

Job Expectations:

  • Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position. Compliance with state law registration and licensing requirements is mandatory. In addition to state registration and licensing requirements, specific product licenses or SAFE licensing may apply. Additional requirements include meeting enhanced financial fitness and criminal background standards. Wells Fargo will initiate the FINRA licensing review process at the time of offer acceptance. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be required

Posting Location:

  • 550 S 4th St. Floor 13, Minneapolis, MN 55415

@RWF22

Pay Range

Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to demonstrated examples of prior performance, skills, experience, or work location. Employees may also be eligible for incentive opportunities.

$27.88 - $41.83

Benefits

Wells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below. VisitBenefits - Wells Fargo Jobs for an overview of the following benefit plans and programs offered to employees.

  • Health benefits
  • 401(k) Plan
  • Paid time off
  • Disability benefits
  • Life insurance, critical illness insurance, and accident insurance
  • Parental leave
  • Critical caregiving leave
  • Discounts and savings
  • Commuter benefits
  • Tuition reimbursement
  • Scholarships for dependent children
  • Adoption reimbursement

Posting End Date:

30 Aug 2026

*Job posting may come down early due to volume of applicants.

We Value Equal Opportunity

Wells Fargo is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.

Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit's risk appetite and all risk and compliance program requirements.

Applicants with Disabilities

To request a medical accommodation during the application or interview process, visitDisability Inclusion at Wells Fargo.

Drug and Alcohol Policy

Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.

Wells Fargo Recruitment and Hiring Requirements:

a. Third-Party recordings are prohibited unless authorized by Wells Fargo.

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.

Wells Fargo logo

About Wells Fargo

Sourced by ZipRecruiter

Wells Fargo & Company (NYSE: WFC) is a leading financial services company that has approximately $1.9 trillion in assets, proudly serves one in three U.S. households and more than 10% of small businesses in the U.S., and is a leading middle market banking provider in the U.S. We provide a diversified set of banking, investment and mortgage products and services, as well as consumer and commercial finance, through our four reportable operating segments: Consumer Banking and Lending, Commercial Banking, Corporate and Investment Banking, and Wealth & Investment Management. Wells Fargo ranked No. 41 on Fortune's 2022 rankings of America's largest corporations. In the communities we serve, the company focuses its social impact on building a sustainable, inclusive future for all by supporting housing affordability, small business growth, financial health and a low-carbon economy.

Industry

Finance and insurance

Company size

10,000+ Employees

Headquarters location

San Francisco, CA, US

Year founded

1852

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