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Finra License Jobs in Santa Rosa, CA (NOW HIRING)

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Finra License information

See Santa Rosa, CA salary details

$82K

$104.6K

$139.9K

How much do finra license jobs pay per year?

As of Aug 13, 2026, the average yearly pay for finra license in Santa Rosa, CA is $104,617.00, according to ZipRecruiter salary data. Most workers in this role earn between $89,100.00 and $120,800.00 per year, depending on experience, location, and employer.

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 are popular job titles related to Finra License jobs in Santa Rosa, CA?

For Finra License jobs in Santa Rosa, CA, the most frequently searched job titles are:

What cities near Santa Rosa, CA are hiring for Finra License jobs?

Cities near Santa Rosa, CA with the most Finra License job openings:

Finra License jobs near you
Infographic showing various Finra License job openings in Santa Rosa, CA as of August 2026, with employment types broken down into 100% Full Time. Highlights an 74% In-person, and 26% Hybrid job distribution, with an average salary of $104,617 per year, or $50.3 per hour.

Wealth Advisor - Westamerica Bank

LPL Financial Holdings, Inc.

Napa, CA • On-site

Full-time

Re-posted 10 days ago

LPL Financial rating

7.3

Company rating: 7.3 out of 10

Based on 71 frontline employees who took The Breakroom Quiz

123rd of 150 rated financial services

Job description

LPL Financial collaborates with banks to provide a comprehensive suite of financial services tailored to their clients' needs. This exciting opportunity at Westamerica Bank invites you to join our employee advisor model as a Wealth Advisor with LPL Financial.
This role will require the employee to work on-site at a local branch
Job Overview:
A Wealth Advisor acts as a dedicated representative assigned to a specific branch (or multiple branches) to deliver Non-Deposit Investment Products (NDIPs) and services to the branch customers and prospective customer base. Serves as an advisor to provide an advice-based approach to financial solutions for an assigned book of business. Actively solicits new and existing investments and insurance solutions from retail client base designed to meet the individualized needs of each customer. Establish a strong partnership with Retail Branch Managers and Centers of Influence and maintain strong working relationships with all assigned Branches.
Responsibilities:
  • Utilizing a consultative, holistic approach, sales process, and assessment tools where appropriate.
  • Providing comprehensive, needs- based financial solutions to clients by offering a range of investment/insurance solutions
  • Delivering needs based, comprehensive financial solutions by offering a suitable and diversified set of brokerage, advisory, and insurance solutions to meet client needs and objectives.
  • Employing ethical business practices to ensure full compliance of regulatory, broker dealer and institution requirements
  • Delivering a high-quality customer service experience during each customer interaction
  • Building strong relationships with retail branch staff, supporting and motivating their referral efforts. Developing a complete understanding of the core institution products to support cross- selling opportunities and to generate referrals back to the institution where appropriate
  • Meet or exceed established sales goals for assigned territory while ensuring compliance with policies, procedures and regulations governing products and services.

What are we looking for?
We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement.
Requirements:
  • High school diploma or equivalent (Bachelor's Degree Preferred)
  • Minimum of two (2) years investment sales experience (preferably in a financial institution)
  • Must maintain Licenses and FINRA registrations: Active State Applicable Life Insurance License, Active Series 7 Registration, Active Series 63 Registration (if required by the state of hire), Active Series 65 or 66
  • Registration (If required by the state of hire. If required by state of hire and not active, must acquire within the first six months of hire)
  • Computer literate with proficiency in Microsoft Office product suite, including Power Point and applications specific to the broker dealer

Preferences:
  • Demonstrated ability to sell products and services to investment clients; evidence of strong sales results
  • Broad knowledge of characteristics and needs of clients and partners within the bank- based investment market space
  • Excellent knowledge of investment/insurance products and financial planning

Core Competencies:
  • Strong self-motivation and ability to work independently
  • Excellent verbal, written and interpersonal communication skills
  • Possess strong organization skills
  • Excellent customer service and business focus with a great attention to detail
  • Effective research and analysis skills

#LI-Onsite
Pay Range:70305 - 70305
The salary range is dependent on a number of factors, including the applicant's skill, experience, and work location. This position is also eligible to earn sales incentive compensation.

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