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Finra Series 9 10 Jobs (NOW HIRING)

Jobtailor

Senior Director, Wealth Management

Roseland, NJ · On-site

$120 - $180/hr

FINRA Registrations SRC Indicator: Series 7; Series 63; Series 65; Series 66; Series 24 or Series 9/10 Core Competencies Demonstrates expertise in Wealth Management, focusing on client relationship ...

Wells Fargo

Branch Support Manager

Saint Paul, MN · On-site

FINRA Series 9/10 and 65 or 66 examinations, or equivalent must be completed within either a 90 or 180-day time period following commencement of employment, depending upon the number of license(s ...

Wells Fargo

Branch Support Manager

Minneapolis, MN

FINRA Series 9/10 and 65 or 66 examinations, or equivalent must be completed within either a 90 or 180-day time period following commencement of employment, depending upon the number of license(s ...

Wells Fargo

Supervisory Control Associate

Saint Louis, MO · On-site +1

FINRA registration including Series 9/10 (or FINRA recognized equivalents) Job Expectations: * US Only: Registration for FINRA Series 9/10 and 65 (or 66) must be completed within a 90 or 180-day time ...

Posted today

Wells Fargo

Supervisory Control Associate

Minneapolis, MN · On-site +1

FINRA registration including Series 9/10 (or FINRA recognized equivalents) Job Expectations: * US Only: Registration for FINRA Series 9/10 and 65 (or 66) must be completed within a 90 or 180-day time ...

Posted today

Wells Fargo

Supervisory Control Associate

Charlotte, NC · On-site +1

FINRA registration including Series 9/10 (or FINRA recognized equivalents) Job Expectations: * US Only: Registration for FINRA Series 9/10 and 65 (or 66) must be completed within a 90 or 180-day time ...

Posted today

Fidelity Investments

Branch Leader - Katy, TX

Katy, TX · On-site

Series 7 and 66 or 63/65 are required, and you must acquire the Series 9/10 upon hire * Background ... Series 07 - FINRA, Series 09 - FINRA, Series 10 - FINRA, Series 63 - FINRA, Series 65 - FINRA ...

Wells Fargo

Supervisory Control Associate

Irving, TX · On-site +1

FINRA registration including Series 9/10 (or FINRA recognized equivalents) Job Expectations: * US Only: Registration for FINRA Series 9/10 and 65 (or 66) must be completed within a 90 or 180-day time ...

Posted today

Fidelity Investments

Branch Leader - Katy, TX

Katy, TX · On-site

Series 7 and 66 or 63/65 are required, and you must acquire the Series 9/10 upon hire * Background ... Series 07 - FINRA, Series 09 - FINRA, Series 10 - FINRA, Series 63 - FINRA, Series 65 - FINRA ...

Wells Fargo

Branch Complex Director

Bellingham, WA

FINRA Series 9 and 10 examinations and FINRA 65 or 66 or equivalent must be completed within a 180-day time period following commencement of employment. The Series 9 & 10 must be completed within the ...

Wells Fargo

Branch Complex Director

Seattle, WA

FINRA Series 9 and 10 examinations and FINRA 65 or 66 or equivalent must be completed within a 180-day time period following commencement of employment. The Series 9 & 10 must be completed within the ...

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Finra Series 9 10 information

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How much do finra series 9 10 jobs pay per hour?

As of Aug 26, 2026, the average hourly pay for finra series 9 10 in the United States is $22.34, according to ZipRecruiter salary data. Most workers in this role earn between $16.59 and $23.32 per hour, depending on experience, location, and employer.

What are FINRA Series 9 and 10 licenses?

The FINRA Series 9 and 10 licenses, also known as the General Securities Sales Supervisor Qualification Exams, are required for individuals who supervise sales activities in options (Series 9) and general securities (Series 10) at brokerage firms. These exams are designed to ensure that supervisors understand regulatory requirements, compliance issues, and supervisory responsibilities. Passing both exams qualifies an individual to oversee the daily activities of registered representatives and ensure adherence to industry regulations. The Series 9 focuses on options, while Series 10 covers a broader range of securities sales supervision.

What are the key skills and qualifications needed to thrive as a FINRA Series 9/10 supervisor?

To thrive as a FINRA Series 9/10 Supervisor, you need deep knowledge of securities regulations, supervisory procedures, and compliance practices, as well as successful completion of the Series 9 and 10 exams. Familiarity with compliance monitoring software, trade surveillance systems, and reporting tools is typically required. Strong analytical thinking, attention to detail, and effective communication are vital soft skills for this role. These competencies ensure that supervisory personnel can enforce regulatory standards, manage risks, and maintain the integrity of financial operations.

What are common challenges faced by individuals with FINRA Series 9/10 licenses, and how can they be addressed?

Individuals in supervisory roles requiring FINRA Series 9/10 licenses often face challenges such as staying current with evolving compliance regulations, balancing supervisory duties with administrative tasks, and managing multi-location teams. To address these, it is crucial to participate in ongoing training, leverage compliance technology tools, and establish clear communication channels with both direct reports and compliance departments. Building a strong understanding of firm policies and fostering a culture of compliance within the team can also help mitigate these challenges and support career success.

What is the difference between Finra Series 9 10 vs Finra Series 7?

AspectFinra Series 9 10Finra Series 7
Required CredentialsSeries 9 and 10 licensesSeries 7 license
Work EnvironmentSupervising and overseeing registered representativesSelling securities and investment products
Employer & Industry UsageBroker-dealers, compliance, supervisory rolesBrokerage firms, securities sales
Common Search & Comparison IntentUnderstanding supervisory licensingUnderstanding sales licensing

The Series 9 and 10 licenses primarily focus on supervisory roles within broker-dealers, overseeing registered representatives. In contrast, the Series 7 license allows individuals to sell a wide range of securities. While both licenses are essential in the securities industry, they serve different functions: Series 9 and 10 are supervisory, whereas Series 7 is sales-oriented.

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Finra Series 9 10 jobs near you
Infographic showing various Finra Series 9 10 job openings in the United States as of August 2026, with employment types broken down into 84% Full Time, 13% Part Time, 1% Temporary, and 2% Contract. Highlights an 84% Physical, 4% Hybrid, and 12% Remote job distribution, with an average salary of $46,466 per year, or $22.3 per hour.

Senior Director, Wealth Management

Roseland, NJ • On-site

Jobtailor
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$120 - $180/hr

Other

Posted 10 days ago

Job description

  • Oversight and management of an assigned group of Wealth Management Advisors.
  • Grows and maintains strong client and participant relationships evidenced through increased wallet share, product appropriateness, and net promoter scores.
  • Ensures the delivery of a seamless client experience through coaching the team to adopt the prescribed engagement practices.
  • Establish relationships across all touch points to ensure advocacy for client/participant needs.
  • Evaluates and assigns Advisors appropriate books of clients; assists Advisors in reviewing planning and advice cases for complex client accounts.
  • Implements appropriate strategies to increase market share.
  • Develops and maintains a good understanding of TIAA's competitors within the individual and institutional landscape.
Requirements
  • University (Degree) Preferred
  • 8+ Years Required; 10+ Years Preferred
  • FINRA Registrations SRC Indicator: Series 7; Series 63; Series 65; Series 66; Series 24 or Series 9/10
Core Competencies

Demonstrates expertise in Wealth Management, focusing on client relationship management, team coaching, and strategic market growth. Proficient in evaluating complex client accounts and implementing effective engagement practices to enhance client experience.

Highest-signal resume keywords
  • Wealth Management Oversight
  • Client Relationship Management
  • Team Coaching and Development
  • FINRA Series 7 Registration
  • Market Share Strategy Implementation
ATS Optimization KeywordsCertifications & Qualifications
  • FINRA Series 7
  • FINRA Series 63
  • FINRA Series 65
  • FINRA Series 66
  • FINRA Series 24
  • FINRA Series 9/10
Industry Keywords
  • Client Experience
  • Wealth Management Advisors
  • Market Share Growth
  • TIAA Competitors
  • Client Advocacy
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