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Finra License Jobs in Virginia (NOW HIRING)

Osaic

Branch Office Examiner

Petersburg, VA · On-site +1

$65K - $75K/yr

FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire. * Knowledge of the retail brokerage business, fee based advisory business and common investment ...

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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 & Co.

Fredericksburg, VA • On-site

$67 - $87/hr

Other

Medical, Dental, Life, Retirement, PTO

Re-posted 5 days ago

Job description

Position

Job Title: Registered Client Service Associate

Location: Fredericksburg, VA

Job Id: 394

Hiring Range: $67,000 – $87,000

Overview

Davenport is seeking a hard‑working, detail oriented, business‑minded professional to support a Financial Advisor and act as a back‑up to other Client Service Associates as needed. The role involves serving the needs of Financial Advisors, managing customer service tasks, and fostering positive relationships between clients and the firm.

Responsibilities
  • Answer phones, file, and prepare correspondence
  • Submit client requests for checks, wires, transfers, and security registrations
  • Help clients understand monthly statements and annual tax notices
  • Acquire cost basis
  • Respond in a timely manner to operational notices
  • Assist with all forms of account paperwork
  • Maintain records and files as required by the Compliance department
  • Process mailings and arrange seminars
  • Work with internal service departments including Operations, Financial Services, and Research
  • Cooperate 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 equivalent) required
  • Extremely well‑organized, detail oriented, and accurate; must manage multiple priorities 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 and record‑keeping ability
  • Understanding of and adherence to industry rules and regulations
Pay Range

Base salary range for this position is $67,000 – $87,000. Pay may vary based on experience, performance, and other factors. Employees may also be eligible for incentive opportunities.

Salary & Benefits
  • Safe harbor 401(k) contribution and profit sharing plan
  • Disability and life insurance
  • High deductible health plan with an HSA
  • Paid time off and elective dental benefits
  • Wellness programs, volunteer opportunities, and a friendly culture
  • Equity ownership opportunity at certain levels
  • On‑site health center and telehealth services
  • Generous paid time off policy with no waiting period
  • Early close every Friday and business‑casual Fridays
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 any other protected characteristic.

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