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Finra License Jobs in Texas (NOW HIRING)

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 ...

Series 99 license Why Join FINRA? You'll be part of a mission-driven organization where your work directly impacts the safety and integrity of the financial markets. We offer competitive compensation ...

About the Role Join FINRA's Risk Monitoring team and play a meaningful role in protecting investors ... Relevant industry certification(s) beyond the SIE (e.g., CFA, CFE, CAMS, Series licenses) Work ...

New

Trade Desk (Finra)

Fort Worth, TX · Hybrid

$63K - $65K/yr

Need Active Licenses FINRA Series 7 & 63 or 66 * Needs customer service experience, call center, financial services experience preferred * Financial services background #westpriority26 Experience ...

Trade Desk (Finra)

Fort Worth, TX · Hybrid

$63K - $65K/yr

Need Active Licenses FINRA Series 7 & 63 or 66 * Needs customer service experience, call center, financial services experience preferred * Financial services background #westpriority26 Experience ...

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Finra License information

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 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 can you do with a FINRA license?

A FINRA license allows individuals to work in securities and financial services, such as broker-dealer roles, investment advising, and trading. It certifies that the holder has met industry standards and passed exams like the Series 7 or Series 63, enabling them to sell securities and provide financial advice within regulated environments.

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.

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 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 cities in Texas are hiring for Finra License jobs?

Cities in Texas with the most Finra License job openings:

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

Supervisory Control Specialist

Wells Fargo

Austin, TX • On-site

Full-time

Posted 6 days ago


Wells Fargo rating

7.8

Company rating: 7.8 out of 10

Based on 708 frontline employees who took The Breakroom Quiz

88th of 171 rated banks


Job description

About this role:

Wells Fargo is seeking a Supervisory Control Specialist to join our Client Relationship Group (CRG) within Wealth and Investment Management. Learn more about the career areas and lines of business at wellsfargojobs.com.


In this role, you will:

  • Participate and consult regarding policies and procedures, controls, tools and training
  • Review and analyze controls to manage high risk investment strategies and complex products
  • Evaluate resources to monitor risk and exercise independent judgment to guide process changes, process improvements, and technology enhancements
  • Present recommendations for resolving complex analysis in search of current and best practices
  • Gather and analyze data, identify trends and present analysis through meaningful statistics
  • Develop expertise in firm, compliance and regulatory policies and procedures
  • Collaborate and consult with Financial Advisors, Divisional and more experienced Management, Market Leaders, Growth Leaders, Branch Managers, Supervision Managers, and varying Business Units


Required Qualifications:

  • 2+ years of Supervisory Control, Corporate Insurance Risk, Risk Management Consulting, Property or Casualty Insurance, Insurance Brokerage experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
  • US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7, 9/10 (or 24 where applicable), and 63 (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

Desired Qualifications:

  • Experience partnering with business, compliance and supervision partners to address concerns, resolve complex issues and provide solutions
  • Ability to exercise independent judgment to identify and resolve problems
  • Ability to interact with all levels of employees and management across the organization and Independent Offices
  • Excellent verbal, written, and interpersonal communication skills
  • Negotiating, conflict-management, and decision making skills
  • Ability to take initiative, work independently, identify opportunities, and implement change
  • Ability to manage multiple and competing priorities
  • 2+ years of financial services industry experience
  • Experience in compliance or broker-dealer governance


Job Expectations:

  • US only: 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 is required
  • Ability to travel up to 25 percent of the time
  • This role requires a FINRA supervisory license and may require working in the assigned office location for at leastone year from the hire date. Any supervisory role employee holding a FINRA supervisory license, who has answered affirmatively to certain Form U4 Section 14 regulatory questions/disclosures, will be ineligible to work from a location other than their assigned office location
  • Specific compliance policies may apply regarding outside activities and/or personal investing; affected employees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired. Information will be shared about expectations during the recruitment process
  • This position is not eligible for Visa sponsorship.
  • This position is subject to FINRA background screening requirements. Candidates must successfully complete and pass a background check prior to hire. In accordance with FINRA rules, individuals who are subject to statutory disqualification are not eligible to be associated with a FINRA-registered broker-dealer. Successful candidates must also meet and comply with ongoing regulatory obligations, which include periodic screening and mandatory reporting of certain incidents.

****For this position the Series 9/10 are the only principal licenses required. The series 24 is not required.****

Job Location:

  • 201 Main St Ste 1700 - Fort Worth, Texas 76102
  • 9442 Capital of Texas Hwy N, Ste700 - Austin, Texas 78759

*Preferred location(s) listed above. Other locations within the Wells Fargo CRG Southwest Market footprint may be considered. Relocation assistance is not available for this position

Posting End Date:

21 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.

Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.

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.


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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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