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Finra Series 4 Jobs in Indiana (NOW HIRING)

Osaic

Sr. Financial Planning Strategist

Indianapolis, IN · On-site

$140K - $160K/yr

Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the ... Proficiency in financial planning software (e.g., eMoney) * CPA * FINRA Series 7, 63, and 65 ...

Osaic

Sr. Financial Planning Strategist

Indianapolis, IN · Hybrid

$140K - $160K/yr

Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the ... Proficiency in financial planning software (e.g., eMoney) * CPA * FINRA Series 7, 63, and 65 ...

Thrivent Financial

Market Developer

Carmel, IN · On-site

Four-year college degree strongly preferred. * Demonstrated track record of solid sales results (i ... FINRA Series 7, 63/65 or 66 required or obtained within 90 days. * State insurance licensed and ...

Thrivent

Market Developer

Carmel, IN · On-site

Four-year college degree strongly preferred. * Demonstrated track record of solid sales results (i ... FINRA Series 7, 63/65 or 66 required or obtained within 90 days. * State insurance licensed and ...

Charles Schwab

Finance Customer Service

Greenwood, IN · On-site

$25.43/hr

... Essentials (SIE) and FINRA Series 7 & 63 licenses, opening doors to a meaningful career in ... Ability to work 8:00 am - 4:30 pm Monday through Friday during Schwab's training program, on ...

Charles Schwab

Finance Customer Service

Plainfield, IN · On-site

$25.43/hr

... Essentials (SIE) and FINRA Series 7 & 63 licenses, opening doors to a meaningful career in ... Ability to work 8:00 am - 4:30 pm Monday through Friday during Schwab's training program, on ...

Charles Schwab

Client Financial Rep

Fishers, IN · On-site

$25.43/hr

... Essentials (SIE) and FINRA Series 7 & 63 licenses, opening doors to a meaningful career in ... Ability to work 8:00 am - 4:30 pm Monday through Friday during Schwab's training program, on ...

Charles Schwab

Finance Customer Service

Noblesville, IN · On-site

$25.43/hr

... Essentials (SIE) and FINRA Series 7 & 63 licenses, opening doors to a meaningful career in ... Ability to work 8:00 am - 4:30 pm Monday through Friday during Schwab's training program, on ...

Charles Schwab

Finance Customer Service

Indianapolis, IN · On-site

$25.43/hr

... Essentials (SIE) and FINRA Series 7 & 63 licenses, opening doors to a meaningful career in ... Ability to work 8:00 am - 4:30 pm Monday through Friday during Schwab's training program, on ...

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All JobsFinra Series 4 JobsFinra Series 4 Jobs in Indiana

Finra Series 4 information

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 the key skills and qualifications needed to thrive as a FINRA Series 4 Registered Options Principal?

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.

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 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 is a FINRA Series 4?

The FINRA Series 4 is a licensing exam required for individuals who supervise or conduct securities options and futures activities, such as registered options principals. Passing this exam qualifies professionals to oversee options trading and related activities within brokerage firms. It typically involves knowledge of regulations, trading strategies, and compliance procedures.

What are popular job titles related to Finra Series 4 jobs in Indiana?

For Finra Series 4 jobs in Indiana, the most frequently searched job titles are:

What job categories do people searching Finra Series 4 jobs in Indiana look for?

The top searched job categories for Finra Series 4 jobs in Indiana are:

Finra Series 4 jobs near you
Infographic showing various Finra Series 4 job openings in Indiana as of September 2026, with employment types broken down into 100% Full Time. Highlights an 91% In-person, 3% Hybrid, and 6% Remote job distribution.

Workplace Financial Consultant - Fort Wayne, IN

Fidelity Investments

Fort Wayne, IN • On-site

Full-time

Retirement

Re-posted 29 days ago

Key responsibilities

  • Service local client companies on their campuses in person 4-5 days a week.

  • Provide personalized financial planning and investment guidance to participants through various educational events.

  • Partner with plan sponsors and internal teams to develop and execute engagement strategies that increase awareness, participation, and utilization of workplace benefits.

Fidelity Investments rating

8.7

Company rating: 8.7 out of 10

Based on 273 frontline employees who took The Breakroom Quiz

16th of 154 rated financial services

Job description


This role requires you to live near Fort Wayne, IN in order to service local client companies on their campuses in person 4-5 days a week.
Note: Fidelity will not provide immigration sponsorship for this position.
The Role
As a Workplace Financial Consultant (WFC) within Fidelity's Workplace Education, Planning & Advice (WEPA) organization, you serve as a trusted partner to plan sponsors, Human Resources representatives, participants, and internal Fidelity partners. In this role, you are responsible for driving participant engagement and maximizing the value of employer-sponsored benefits programs, including 401(k), 403(b), equity compensation, stock plans, and other workplace benefits. You partner directly with plan sponsors to develop and execute ongoing engagement strategies that increase awareness, participation, and utilization of available financial wellness and retirement programs.
Acting as a key liaison between plan sponsors and Fidelity business partners, including local branch teams, you help align resources and deliver a consistent high-quality experience for all. A core component of the role is providing personalized financial planning and investment guidance to participants through one-on-one consultations, group workshops, benefits fairs, help desk sessions, lunch-and-learns, and other educational events. Topics may include retirement planning, investment strategies, equity compensation, stock plans, tax-efficient investing, estate planning, and broader financial wellness concepts. Through proactive relationship management, education, and advice, you play a critical role in improving participant outcomes and strengthening Fidelity's partnership with plan sponsors.
The Expertise and Skills You Bring
  • Bachelor's degree preferred
  • 3+ years of experience in financial services, wealth management, retirement planning, or a related advisory role
  • FINRA Series 7 and Series licenses required (or ability to obtain Series 66 upon hire), with all applicable state registrations
  • Life and Annuity license preferred
  • CFP® or CRPC® designation preferred
  • Strong knowledge of financial planning concepts and retirement planning
  • 1-2 years of client-facing experience providing financial guidance, education, or consultation preferred
  • Demonstrated ability to effectively present and facilitate group workshops, educational sessions, and client meetings
  • Proven ability to develop and maintain relationships with plan sponsors, Human Resources partners, and workplace stakeholders
  • Strong communication, relationship-management, and consultative skills
  • Ability to promote participant engagement and increase utilization of workplace financial benefits and resources
  • Strong organizational skills with the ability to manage multiple client relationships and priorities simultaneously
  • Ability and willingness to travel in support of client engagement activities and workplace events (up to 75%)

The Team
The Workplace Education, Planning and Advice (WEPA) organization exists to help employees in our local workplace communities. Our mission is to serve as a trusted partner for plan sponsors and participants, providing education, financial planning and advice, both virtually and on-site, nationwide for our 401k, 403b, Equity Compensation and other benefits plan partners. Our value is delivered to over one million plan participants every year, inspiring them to reach their financial goals and bringing the broader Fidelity Advantage to life.
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 66 - FINRA
Category:
Sales
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.

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