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Finra Series 4 Jobs (NOW HIRING)

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FINRA Series 24 certification is also required or ability to obtain within 3 months of hire. Series 4 and 79 a plus. * Education: Bachelor's degree in Finance, Business Administration, or related ...

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Finra Series 4 information

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$11

$27

$45

How much do finra series 4 jobs pay per hour?

As of Jul 2, 2026, the average hourly pay for finra series 4 in the United States is $27.68, according to ZipRecruiter salary data. Most workers in this role earn between $19.23 and $29.33 per hour, depending on experience, location, and employer.

What professions make 500,000 a year?

Professions that can reach $500,000 annually include investment bankers, hedge fund managers, senior financial advisors, and certain high-level executives. These roles often require advanced certifications like the FINRA Series 4 for securities trading, extensive experience, and a strong client base or performance record.

What is the FINRA Series 4 license?

The FINRA Series 4 license, also known as the Registered Options Principal Exam, is a qualification exam required for individuals who will supervise options sales activities at a broker-dealer. Passing the Series 4 allows professionals to oversee and approve options trading activities, ensuring compliance with regulations and firm policies. Candidates must already hold a Series 7 or Series 62 license before taking the Series 4. This certification is essential for those looking to take on supervisory roles in options trading within the securities industry.

What are typical challenges faced by professionals preparing for the FINRA Series 4 exam while working full-time?

Balancing exam preparation with a full-time job can be challenging for aspiring Registered Options Principals. Many candidates find it difficult to allocate sufficient study time amid daily work responsibilities, especially since the Series 4 covers complex options strategies and compliance regulations. To succeed, it’s important to create a structured study plan, leverage employer-provided resources, and connect with colleagues who have passed the exam. Employers often support candidates through study groups and flexible scheduling, but proactive communication and time management are key to overcoming these challenges.

What profession makes $400,000 a year?

In the financial industry, senior roles such as hedge fund managers, investment bankers, and certain financial advisors can earn $400,000 or more annually. These positions typically require extensive experience, advanced certifications, and strong client or asset management skills.

What are the key skills and qualifications needed to thrive as a FINRA Series 4 Registered Options Principal, and why are they important?

To thrive as a FINRA Series 4 Registered Options Principal, you need extensive knowledge of options trading, securities regulations, and supervisory procedures, typically demonstrated by passing the Series 4 exam and holding prerequisite licenses like Series 7. Familiarity with compliance monitoring systems, trade surveillance software, and regulatory reporting tools is crucial. Strong analytical thinking, attention to detail, and effective communication skills are essential for ensuring regulatory adherence and guiding teams. These capabilities help maintain firm compliance, mitigate risks, and protect both clients and the financial institution.

How hard is FINRA Series 4?

The FINRA Series 4 exam is considered moderately difficult, requiring a solid understanding of options, securities, and regulatory rules. It typically involves studying for about 20-40 hours and passing with a score of 70% or higher. Success depends on preparation, familiarity with the exam content, and test-taking skills.

What is the difference between Finra Series 4 vs Finra Series 7?

AspectFinra Series 4Finra Series 7
Certifications RequiredYesYes
Work EnvironmentBroker-dealer firms, regulatory rolesGeneral securities sales, trading, and investment advice
Industry UsagePrimarily for registered options and futures representativesBroader securities and investment products
Common Search IntentUnderstanding licensing for options and futuresLicensing for comprehensive securities sales

The Finra Series 4 license focuses on options and futures trading, often used by professionals in derivatives and futures firms. In contrast, the Finra Series 7 covers a wider range of securities, including stocks, bonds, and mutual funds, suitable for general securities representatives. Both require passing exams and are essential for different roles within the securities industry, with Series 4 more specialized and Series 7 more comprehensive.

What can you do with a Series 4 license?

A Series 4 license qualifies individuals to supervise and oversee securities options activities, including options trading and compliance, within a brokerage firm. It is required for registered options principals and involves knowledge of options regulations, trading strategies, and risk management. The license allows professionals to ensure adherence to industry rules and support options-related operations.
More about Finra Series 4 jobs
What cities are hiring for Finra Series 4 jobs? Cities with the most Finra Series 4 job openings:
What states have the most Finra Series 4 jobs? States with the most job openings for Finra Series 4 jobs include:
Infographic showing various Finra Series 4 job openings in the United States as of June 2026, with employment types broken down into 98% Full Time, and 2% Contract. Highlights an 77% In-person, 7% Hybrid, and 16% Remote job distribution, with an average salary of $57,583 per year, or $27.7 per hour.
FINRA Series 6 or 7 Licensed Support Representative

FINRA Series 6 or 7 Licensed Support Representative

DXC Technology

Encino, CA • On-site

$36K - $68K/yr

Other

Medical, Dental, Vision, Life, Retirement, PTO

Posted 16 days ago


DXC Technology rating

7.2

Company rating: 7.2 out of 10

Based on 47 frontline employees who took The Breakroom Quiz

116th of 207 rated it services


Job description

Customer-Focused FINRA Series 6 Or 7 Licensed Support Representative

DXC Technology helps global companies run their mission critical systems and operations while modernizing IT, optimizing data architectures, and ensuring security and scalability across public, private and hybrid clouds. The world's largest companies and public sector organizations trust DXC to deploy services across the Enterprise Technology Stack to drive new levels of performance, competitiveness, and customer experience. Learn more about how we deliver excellence for our customers and colleagues at DXC.com.

At DXC we use the power of technology to deliver mission critical IT Services that our customers need to modernize operations and drive innovation across their entire IT estate. We provide services across the Enterprise Technology Stack for business process outsourcing, insurance, analytics and engineering, applications, security, cloud, IT outsourcing, and modern workplace.

Our DXC Insurance Services help our customers optimize and transform operations, lower costs, increase agile new channels to growth. Our people, technology and best practices improve and automate highly complex business processes middle and back offices- while facilitating customer experience transformation.

We are seeking a customer-focused FINRA Series 6 or 7 Licensed Support Representative to provide service and support to clients with investment and retirement accounts. In this role, you will handle inbound calls, respond to account-related inquiries, process transactions, and deliver a high-quality client experience while supporting our financial services partners.

Key Responsibilities
  • Provide customer service to clients regarding investment and retirement products, including mutual funds, variable annuities, brokerage accounts, and related financial service offerings.
  • Respond to inbound calls and inquiries regarding account balances, transactions, distributions, transfers, and general account servicing.
  • Research and resolve client requests related to account activity, trade status, account features, and servicing procedures.
  • Process transactions such as fund transfers, distributions, and account updates, ensuring compliance with company policies and FINRA regulations.
  • Escalate complex issues and route requests for account changes or documentation to the appropriate departments.
  • Efficiently navigate multiple internal systems to access client information and provide accurate and timely responses.
  • Maintain and strengthen relationships between clients and financial advisors by delivering professional, compliant, and high-quality service.
  • Support special campaigns, client outreach initiatives, and operational requests when needed.
  • Consistently demonstrate strong communication, regulatory awareness, and a commitment to service quality while meeting call center performance metrics.
Required Qualifications
  • High School Diploma required (verification will be requested during the background check).
  • Active FINRA Series 6 or Series 7 license required.
  • 1–2 years of experience in financial services, investment servicing, or brokerage operations.
  • Prior call center or high-volume client service experience preferred.
  • Basic understanding of investment products, retirement accounts, and securities regulations.
  • Excellent verbal and written communication skills.
  • Strong telephone etiquette, reliable attendance, and commitment to meeting performance and call metrics.
  • Strong listening skills with the ability to clearly explain financial information and solutions to clients.
  • Ability to work in a fast-paced, regulated financial services environment.
  • Proven ability to collaborate effectively within a team.
  • Strong organizational, problem-solving, and analytical skills.
  • Ability to manage stress and maintain performance under pressure.
  • Strong computer proficiency and ability to navigate multiple systems simultaneously.
  • Basic math and analytical capabilities.
Training Schedule

5–6 weeks of training Monday – FridayTypically 8:00 AM – 4:30 / 5:00 PM CST

Regular Work Schedule

Monday – Friday

Core business hours between 7:30 AM – 5:00 PM CST(8-hour shift within these hours)

Compensation at DXC is influenced by an array of factors, including but not limited to the experience, job-related knowledge, skills, competencies, as well as contract-specific affordability and organizational requirements. A reasonable estimate of the current compensation range for this position is $36,700 - $68,200.

Full-time hires are eligible to participate in the DXC benefit program. DXC offers a comprehensive, flexible, and competitive benefits program which includes, but is not limited to, health, dental, and vision insurance coverage; employee wellness; life and disability insurance; a retirement savings plan, paid holidays, paid time off.

At DXC Technology, we believe strong connections and community are key to our success. Our work model prioritizes in-person collaboration while offering flexibility to support wellbeing, productivity, individual work styles, and life circumstances. We're committed to fostering an inclusive environment where everyone can thrive.


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