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Finra License Jobs in Virginia (NOW HIRING)

Td

Principal Review Analyst - Charlotte, NC

Vienna, VA

$72K - $117K/yr

State Life & Health Insurance License (Required or ability to obtain within scheduled time) * FINRA Series 65 or 66 (Preferred) * FINRA Series 63 (Preferred) * Computer skills: In addition to MS ...

Empower

Workplace Planning Consultant

Fairfax, VA · On-site +1

$55K - $76K/yr

Current FINRA licenses and/or ability to successfully obtain FINRA 7, 63 & 65 (or 66) registrations within corporate-established timelines and complete FINRA fingerprinting upon hire * Motivated ...

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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 Virginia?

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

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

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

What cities in Virginia are hiring for Finra License jobs?

Cities in Virginia with the most Finra License job openings:

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

Registered Client Service Associate

Davenport & Company LLC

Fredericksburg, VA • On-site

Full-time

Medical, Dental, Life, Retirement, PTO

Re-posted 6 days ago

Job description

REGISTERED CLIENT SERVICE ASSOCIATE
Location: Fredericksburg, VA
Hiring Range: $67,000 - 87,000
OVERVIEW:
Davenport is seeking a hard-working, detail oriented, and business-minded professional to join its Fredericksburg team. This full-time, non-exempt position will support a Financial Advisor in the office and serve as a back-up to other Client Service Associates as necessary. As a Client Service Associate, your primary responsibility is to serve the needs of Financial Advisors with regards to servicing customers and fostering a positive relationship between clients and the firm.
An ideal candidate will have a banking or financial services background, with excellent customer service and communication skills. At Davenport, we are proud of our commitment to service, with both internal and external clients.
RESPONSIBILITIES:
Responsibilities of this position include, but are not limited to:
  • Answering phones, filing, and preparing correspondence
  • Submitting client requests for checks, wires, transfers, and security registrations
  • Helping clients to understand their monthly statements and annual tax notices
  • Acquiring cost basis
  • Responding on a timely basis to operational notices
  • Assisting with all forms of account paperwork
  • Maintaining records and files as required by the Compliance department
  • Processing mailings and arranging seminars
  • Working with internal service departments including Operations, Financial Services, and Research, among others
  • Cooperating with co-workers to cover various needs as they arise in the sales area

QUALIFICATIONS:
  • College Degree preferred
  • Experience in financial services or banking strongly preferred
  • FINRA Licensing: SIE, Series 7, and Series 63 (or FINRA-recognized equivalent) required
  • Extremely well-organized, detail oriented and accurate; must be able to multi-task and meet deadlines
  • Highly motivated with excellent communication and customer service skills
  • Proficiency in Microsoft Outlook, Word, and Excel
  • Ability to learn and master computer programs that house customer data
  • Basic bookkeeping skills and record keeping ability
  • Ability to understand and adhere to industry rules and regulations
  • Professional demeanor

SALARY & BENEFITS:
We offer a competitive salary and excellent benefit program, including safe harbor 401(k) contribution, profit sharing plan, disability and life insurance, high deductible health plan with an HSA, Paid Time Off and elective dental benefits. We offer wellness programs and support a friendly and collegial culture, with company sponsored volunteer opportunities during business hours.
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.
DAVENPORT IS AN EQUAL OPPORTUNITY EMPLOYER
Davenport & Company LLC provides equal employment and advancement opportunities to all colleagues and applicants for employment without regard to race, color, ethnicity, religion, gender, pregnancy/childbirth, age, national origin, sexual orientation, gender identity or expression, disability or perceived disability, genetic information, citizenship, veteran or military status, marital or domestic partner status, or any other category protected by federal, state and/or local laws.

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