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Independent Broker Dealer Jobs (NOW HIRING)

Finalis

$125 - $150/hr

Finalis is the leading platform enabling independent and boutique investment banking firms to ... The Broker-Dealer Compliance Specialist supports Finalis's supervisory and compliance program ...

Finalis

Broker-Dealer Compliance Analyst

$65K - $90K/yr

Finalis is the leading platform enabling independent and boutique investment banking firms to ... The Broker-Dealer Compliance Specialist supports Finalis's supervisory and compliance program ...

New

Green Key Resources

Broker Dealer CCO

Manhattan, NY · On-site

Broker-Dealer Chief Compliance Officer Position Overview A leading financial services organization ... Demonstrates sound judgment and the ability to independently identify and resolve compliance issues.

SEI Investments

Broker Dealer Analyst

Oaks, PA

Individuals must work with the National Broker Dealer Sales staff, Advisor Network Sales Team, and ... Must be a team player with an ability to work independently with minimal supervision * Excellent ...

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Independent Broker Dealer information

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How much do independent broker dealer jobs pay per hour?

As of Sep 9, 2026, the average hourly pay for independent broker dealer in the United States is $34.85, according to ZipRecruiter salary data. Most workers in this role earn between $25.96 and $25.96 per hour, depending on experience, location, and employer.

What is an independent broker dealer?

An Independent Broker Dealer is a financial firm that facilitates the buying and selling of securities, such as stocks and bonds, on behalf of clients. Unlike traditional broker dealers tied to large banks or investment companies, independent broker dealers operate autonomously and offer their affiliated financial advisors a broader selection of investment products. This independence allows advisors to tailor recommendations more closely to clients' needs, as they're not restricted to proprietary products. Independent broker dealers are regulated by entities like FINRA and the SEC to ensure compliance and investor protection.

How does an independent broker dealer collaborate with financial advisors and clients to deliver investment solutions?

Independent Broker Dealers work closely with financial advisors by providing them with access to a broad range of investment products, research, compliance support, and technology platforms. This collaborative approach allows advisors to offer tailored investment solutions that meet clients' diverse financial needs. The structure often encourages open communication and autonomy, enabling advisors to build strong, long-term relationships with their clients while leveraging the dealer’s resources for operational and regulatory support.

What are the key skills and qualifications needed to thrive as an independent broker dealer, and why are they important?

To thrive as an Independent Broker Dealer, you need a deep understanding of financial markets, investment products, and regulatory compliance, typically supported by FINRA Series 7 and Series 63/66 licenses. Proficiency in client relationship management (CRM) software, portfolio management systems, and financial planning tools is essential. Exceptional interpersonal skills, ethical judgment, and the ability to build lasting client relationships set top performers apart. These skills and qualities are crucial for delivering personalized investment solutions, maintaining regulatory compliance, and growing a successful practice.

What is the difference between Independent Broker Dealer vs Registered Representative?

AspectIndependent Broker DealerRegistered Representative
CredentialsFINRA registration, Series 7, Series 63/66Series 7, Series 63/66, registered with a broker-dealer
Work EnvironmentOperates independently or with multiple firms, self-employed or affiliatedEmployed by a broker-dealer, working under their supervision
Employer & Industry UsageIndependent firms, financial advisory networksMajor brokerage firms, banks, financial institutions

While both roles require FINRA registration and similar licenses, an Independent Broker Dealer operates independently or with multiple firms, offering more autonomy. A Registered Representative works directly for a broker-dealer, following their supervision. The key difference lies in independence and employer structure, impacting work flexibility and business model.

More about Independent Broker Dealer jobs

What states have the most Independent Broker Dealer jobs?

States with the most job openings for Independent Broker Dealer jobs include:

What are popular job titles related to Independent Broker Dealer jobs?

For Independent Broker Dealer jobs, the most frequently searched job titles are:

Independent Broker Dealer jobs near you
Infographic showing various Independent Broker Dealer job openings in the United States as of September 2026, with employment types broken down into 1% As Needed, 72% Full Time, 19% Part Time, and 8% Contract. Highlights an 90% Physical, 1% Hybrid, and 9% Remote job distribution, with an average salary of $72,491 per year, or $34.9 per hour.

Wealth Management Advisor - Independent Broker Dealer

South Williamsport, PA • Remote

uFinancial Group
11 - 50 employees
Learn more about uFinancial Groupexternal

$40K - $75K/yr

Full-time

Medical, Dental, Vision, Retirement

Posted 21 days ago

Job description

Are you looking to grow your financial services practice with a top 5 independent broker/dealer? Do you desire the ability to be an entrepreneur but not have to deal with the headaches of processing business?

Our advisors choose to partner with MMLIS to give our clients an open architecture model of products and services.


How will you get started? You will…

  • Partner with one of our many teams to grow and develop your practice along with diving deep into their own niche markets.
  • Become fully licensed and trained for charging financial planning/consulting fees.
  • Work closely with our new business team to ensure new clients applications are submitted and processed effectively.


What do you need to be successful?

  • Coachable and being able to be pushed to the edge of your comfort zone.
  • A dedicated work ethic: independent, self-motivated and goal oriented.
  • Strong relationship building skills with a focus on putting people first.


We will help you by providing…

  • Initial stipends to subsidize income.
  • Full benefits (401k, health, dental, vision, etc...)
  • Opportunities for collaboration and mentorship from advisors 20+ years in the financial services business
  • Cutting edge technology that makes doing business much easier.
  • A team-based environment that sees collaboration as key to success.