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Finra License Jobs in Wisconsin (NOW HIRING)

Soteria Reinsurance Ltd.

WI · On-site

$90 - $130/hr

FINRA Series 7, 63/66 required and insurance licenses must be acquired within 6 months of hire * Bachelor's degree in business or finance preferred CFP certification preferred * At least 25% travel ...

CoVantage Credit Union

Financial Advisor

Rhinelander, WI · On-site

$70 - $110/hr

Life, Health and variable insurance license preferred or attain within appropriate timeframe. * FINRA Securities Industry Essentials Examination preferred or attain within appropriate timeframe.

CoVantage Credit Union

WI · On-site

$70 - $110/hr

Life, Health and variable insurance license preferred or attain within appropriate timeframe. * FINRA Securities Industry Essentials Examination preferred or attain within appropriate timeframe.

CoVantage Credit Union

WI · On-site

$70 - $110/hr

Life, Health and variable insurance license preferred or attain within appropriate timeframe. * FINRA Securities Industry Essentials Examination preferred or attain within appropriate timeframe.

CoVantage Credit Union

WI · On-site

$70 - $110/hr

Life, Health and variable insurance license preferred or attain within appropriate timeframe. * FINRA Securities Industry Essentials Examination preferred or attain within appropriate timeframe.

INNOVAYTE LLC

WI · On-site

$120 - $180/hr

... FINRA and the SEC requirements. These licenses, when required, need to be obtained within certain specific time frames, typically 120 calendar days. TECHNICAL SKILLS To be successful in this role ...

Posted today

Soteria Reinsurance Ltd.

WI · On-site

$60 - $90/hr

FINRA Series 7 & 66 licensed and hold appropriate state registrations, OR ability to acquire Series 66 upon hire * Ability to present complex solutions to a knowledgeable client base while building ...

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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 Wisconsin?

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

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

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

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

Regional Planning Consultant - Westlake, TX

Soteria Reinsurance Ltd.

WI • On-site

$90 - $130/hr

Other

Posted 6 days ago

Key responsibilities

  • Support advisor development by providing coaching interactions and tracking progress within Salesforce Coaching App 2.0.

  • Reinforce the Fidelity Relationship Model and Standards of Care to prepare advisory associates to become proficient and effective advisors.

  • Partner with advisors during joint client appointments to introduce and implement financial planning strategies and solutions.

Job description

Job Description: Note: Fidelity will not provide immigration sponsorship for this position.

The Role As a Regional Planning Consultant, you provide mentorship and development support to Fidelity Wealth associates, helping them strengthen their capabilities and advance their careers. In this role, you support advisor development by detailing coaching interactions within Salesforce Coaching App 2.0, enabling consistent tracking of progress and skill advancement. By reinforcing the Fidelity Relationship Model and Standards of Care, you help prepare advisory associates to become highly proficient and effective advisors. You also provide financial planning expertise through joint client appointments, partnering with advisors to introduce and implement appropriate planning strategies and solutions. Through hands-on coaching, collaboration, and client-facing support, you help advisors improve their efficiency while delivering significant outcomes for clients.

The Expertise and Skills You Bring
  • Sales experience with validated knowledge of planning interactions
  • Expert level experience and understanding of financial/investment planning process and knowledge of strategies in areas of retirement planning, education funding, estate planning and insurance planning
  • Fidelity product knowledge/experience preferred
  • FINRA Series 7, 63/66 required and insurance licenses must be acquired within 6 months of hire
  • Bachelor’s degree in business or finance preferred CFP certification preferred
  • At least 25% travel in the field will be required
  • Planning skills and in-depth knowledge of financial product offerings
  • An unparalleled desire to mentor and impact others’ results
  • Public speaking skills and confidence in front of an audience of any size
The Team

The Regional Planning Consultant plays a vital role in supporting professionals within Fidelity Wealth by reinforcing the principles of mentorship and personalized planning. You will affect associate development through focused coaching support in the key foundational areas including communication skills, planning concepts, practice management techniques and planning tools.

Fidelity’s Onsite Working Model

Fidelity is transitioning to a full-time onsite working model through a phased rollout across regions and roles. Currently, some roles and locations require 100% onsite presence, while others require less. Onsite expectations are likely to evolve as the rollout continues. This transition does not apply to fully remote roles.

Certifications:

Series 07 - FINRA, Series 63 - FINRA, Series 66 - FINRA

Category: Sales Support

Please be advised that Fidelity’s business is governed by the provisions of the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, numerous state laws governing securities, investment and retirement-related financial activities and the rules and regulations of numerous self-regulatory organizations, including FINRA, among others. Those laws and regulations may restrict Fidelity from hiring and/or associating with individuals with certain Criminal Histories.

At Fidelity, we are passionate about making our financial expertise broadly accessible and effective in helping people live the lives they want! We are a privately held company that places a high degree of value in creating and nurturing a work environment that attracts the best talent and reflects our commitment to our associates. We are proud of our diverse and inclusive workplace where we respect and value our associates for their unique perspectives and experiences.

For information about working at Fidelity, visit FidelityCareers.com.

Fidelity Investments is an equal opportunity employer. Fidelity will reasonably accommodate applicants with disabilities who need adjustments to participate in the application or interview process. To initiate a request for an accommodation please contact the following: For roles based in the US: Contact the HR Leave of Absence/Accommodation Team by sending an email to accommodations@fmr.com, or by calling 800-835-5099, prompt 2, option 2 For roles based in Ireland: Contact AccommodationsIreland@fmr.com For roles based in Germany: Contact Accommodationsgermany@fmr.com

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