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General Securities Representative Jobs (NOW HIRING)

QCP

Head of Compliance, US

New York, NY

FINRA Series 7 - General Securities Representative * FINRA Series 24 - General Securities Principal * Licensing (Strongly Preferred) * Series 66 - Uniform Combined State Law Exam * Minimum 8-12 years ...

QCP

Head of Compliance, US

New York, NY · On-site

FINRA Series 7 - General Securities Representative * FINRA Series 24 - General Securities Principal * Licensing (Strongly Preferred) * Series 66 - Uniform Combined State Law Exam * Minimum 8-12 years ...

QCP

Head of Compliance, US

New York, NY · On-site

FINRA Series 7 - General Securities Representative * FINRA Series 24 - General Securities Principal * Licensing (Strongly Preferred) * Series 66 - Uniform Combined State Law Exam * Minimum 8-12 years ...

Stephens, Inc.

Registered Client Associate

Atlanta, GA · On-site

Series 7 - General Securities Representative * Series 63 - State Law Exam or Series 66 - Combined State Law #LI-DNI Equal Opportunity Employer This employer is required to notify all applicants of ...

Connect Search

Client Services Manager

Naperville, IL · On-site

Series 7: FINRA General Securities Representative licensed preferred * Series 66: FINRA Uniform Combined Securities Agent and Investment Advisor State Law Exam licensed preferred * Must be willing to ...

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General Securities Representative information

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$24.5K

$44.2K

$77K

How much do general securities representative jobs pay per year?

As of May 28, 2026, the average yearly pay for general securities representative in the United States is $44,219.00, according to ZipRecruiter salary data. Most workers in this role earn between $37,500.00 and $43,000.00 per year, depending on experience, location, and employer.

What are the key skills and qualifications needed to thrive as a General Securities Representative, and why are they important?

To thrive as a General Securities Representative, you need a solid understanding of financial markets, investment products, and securities regulations, typically supported by passing the FINRA Series 7 and Series 63 or 66 exams. Familiarity with trading platforms, CRM software, and compliance monitoring systems is essential. Strong interpersonal skills, ethical judgment, and effective communication help build client trust and manage relationships. These competencies are critical for ensuring regulatory compliance, delivering sound investment advice, and achieving client satisfaction in a competitive financial industry.

What are some common challenges faced by General Securities Representatives when managing client portfolios?

General Securities Representatives often encounter challenges such as navigating volatile markets, addressing diverse client risk tolerances, and keeping up with regulatory changes. Balancing client expectations with realistic investment outcomes requires strong communication and analytical skills. Additionally, representatives must stay informed about new products and compliance requirements, while collaborating closely with compliance officers and research analysts to ensure well-informed recommendations and adherence to industry standards.

What are General Securities Representatives?

General Securities Representatives, also known as registered representatives or stockbrokers, are licensed professionals who buy and sell a wide range of securities—including stocks, bonds, and mutual funds—on behalf of clients. They provide investment advice, execute trades, and help clients develop investment strategies based on their financial goals. To become a General Securities Representative, individuals must pass the FINRA Series 7 exam and often the Securities Industry Essentials (SIE) exam. These representatives work for brokerage firms, banks, or investment companies and must adhere to strict regulatory and ethical standards.

What is the difference between General Securities Representative vs Registered Investment Advisor?

AspectGeneral Securities RepresentativeRegistered Investment Advisor
CredentialsFINRA Series 7 licenseSEC registration, Series 65 or 66 (optional)
Work EnvironmentBrokerage firms, securities firmsRegistered investment advisory firms, independent advisors
Industry UsageSales, trading, client advising in securitiesFinancial planning, wealth management, personalized advice

The General Securities Representative primarily works in brokerage firms, focusing on selling securities and client transactions. In contrast, a Registered Investment Advisor provides personalized financial advice and manages client portfolios, often operating independently or within advisory firms. While both roles require securities licensing, their client focus and regulatory frameworks differ significantly.

What states have the most General Securities Representative jobs? States with the most job openings for General Securities Representative jobs include:
General Securities Representative jobs near you
Infographic showing various General Securities Representative job openings in the United States as of May 2026, with employment types broken down into 2% As Needed, 59% Full Time, 37% Part Time, and 2% Contract. Highlights an 50% Physical, and 50% Hybrid job distribution, with an average salary of $44,219 per year, or $21.3 per hour.
Branch Operations Manager- Boca Raton, FL

Branch Operations Manager- Boca Raton, FL

Raymond James Financial Services

Boca Raton, FL • On-site

Full-time

This job post has expired today. Applications are no longer accepted.

Job description

Job Description Summary
Under branch manager direction manage the overall operational efficiency of the branch office. Directs day to day operational functions, ensuring compliance with firm and regulatory policies and procedures. Uses extensive knowledge and skills obtained through education and experience to identify, research, analyze and resolve complex issues.
Job Description
Responsibilities
  • Performs back-up for all operational functions as required by workloads and absences.
  • Works directly with home office personnel to coordinate branch-home office workflow.
  • Completes self-audit of branch procedures.
  • Assists Branch Manager with confidential matters and compliance visits and replies.
  • Assists Branch Manager with controlling expenses and operating at peak efficiencies.
  • Oversees ordering of supplies, purchase orders and postage usage.
  • Maintains accounting of branch petty cash.
  • May review branch invoices and operating statements.
  • Researches and resolves complex problems relating to client accounts and inquiries.
  • Assists Branch Manager in disseminating information at regular branch meetings.
  • Coordinate rent, facility, office maintenance and cleaning/security issues.
  • Recruits, selects, orients, trains and supervises branch operations associates.
  • In conjunction with the Branch Manager conducts ongoing performance management, scheduled performance appraisals and salary reviews of operations associates, and maintains branch associate files.
  • Reviews daily work of operations associates.
  • Evaluates workload and responsibilities of support staff to determine necessary assignment changes to maintain efficient workflow.
  • Ensures daily staffing levels and cross-training is adequate.
  • Coordinates registrations, continuing education, licensing, etc. of branch personnel.
  • Performs other duties and responsibilities as assigned. May perform some Branch Manager duties
Education/Experience Requirements
  • Bachelor's degree and three years' experience in the financial services industry, preferably including related operational management and supervisory experience
~or~
  • An equivalent combination of experience, education and/or training as approved by Human Resources
Licenses Required
  • SIE required provided that an exemption or grandfathering cannot be applied
  • Series 7, 9 & 10
  • Series 63, 65 and/or 66 as required by state
  • Ability to obtain additional securities and advisory state registrations if required by state

Education
Bachelor's: Accounting, Bachelor's: Business Administration, Bachelor's: Finance
Work Experience
General Experience - 3 to 6 years, Manager Experience - 13 months to 3 years
Certifications
s10 - General Securities Sales Supervisor - General Module Examination - Financial Industry Regulatory Authority (FINRA), s66 - Uniform Combined State Law Examination - Financial Industry Regulatory Authority (FINRA), s7 - General Securities Representative Examination - Financial Industry Regulatory Authority (FINRA), s9 - General Securities Sales Supervisor - Options Module Examination - Financial Industry Regulatory Authority (FINRA), Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)
Travel
Less than 25%
Workstyle
Resident
At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view.
We expect our associates at all levels to:
• Grow professionally and inspire others to do the same
• Work with and through others to achieve desired outcomes
• Make prompt, pragmatic choices and act with the client in mind
• Take ownership and hold themselves and others accountable for delivering results that matter
• Contribute to the continuous evolution of the firm
Raymond James Financial Services logo

About Raymond James Financial Services

Sourced by ZipRecruiter

Your financial goals, aspirations and investment needs are just that – yours. And your financial plan should reflect that. So rather than ask you to settle for an off-the-shelf investment program, we’re here to provide you with personalized financial planning based on your goals, your time frame and your particular tolerance for risk. We can provide you with just the right combination of financial services, support and guidance that make the most sense for you. We’ll also be there to help you each step of the way in the pursuit of your personal financial goals.

Industry

Accounting services

Company size

11 - 50 Employees

Headquarters location

Rockville, MD, US

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