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Registered Representative Finra Jobs (NOW HIRING)

NRECA

Senior Financial Advisor

Arlington, VA

$126K - $157K/yr

FINRA Series 6 (Investment Company Registered Representative) * FINRA Series 63 (Uniform Securities Agent) * FINRA Series 65 (Investment Advisor) Knowledge, Skills and Abilities Required: * Knowledge ...

NRECA

Senior Financial Advisor

Arlington, VA · On-site

$126K - $157K/yr

FINRA Series 6 (Investment Company Registered Representative) * FINRA Series 63 (Uniform Securities Agent) * FINRA Series 65 (Investment Advisor) Knowledge, Skills and Abilities Required

Cetera

Client Services Representative

Iselin, NJ · Hybrid

$16.25 - $22/hr

... FINRA Series 7, & 66 or 63/65 combo). * This position is hybrid and part-time. What You Will Do: Act as a liaison between the registered representatives and their clients. Answer phones, schedule ...

Cetera

Client Services Representative

Iselin, NJ · Hybrid

$16.25 - $22/hr

... FINRA Series 7, & 66 or 63/65 combo). * This position is hybrid and part-time. What You Will Do: Act as a liaison between the registered representatives and their clients. Answer phones, schedule ...

Cetera

Client Services Representative

Clarkstown, NY

$20.54 - $27.46/hr

... FINRA Series 7, & 66 or 63/65 combo). What You Will Do: Act as a liaison between the registered representatives and their clients. Answer phones, schedule appointments, and prepare materials for ...

Cetera

Client Services Representative

Westbury, NY · On-site

$16.50 - $22.50/hr

... FINRA Series 7, & 66 or 63/65 combo). * This position is part-time and on-site. What You Will Do: Act as a liaison between the registered representatives and their clients. Answer phones, schedule ...

Cetera

Client Services Representative

Clarkstown, NY

$15.50 - $21.25/hr

... FINRA Series 7, & 66 or 63/65 combo). What You Will Do: Act as a liaison between the registered representatives and their clients. Answer phones, schedule appointments, and prepare materials for ...

Cetera

Client Services Representative

Canonsburg, PA · On-site

$14.75 - $20/hr

... FINRA Series 7, & 66 or 63/65 combo). This role is full-time and onsite. What You Will Do: Act as a liaison between the registered representatives and their clients. Answer phones, schedule ...

Cetera

Client Services Representative

Clarkstown, NY

$20.54 - $27.46/hr

... FINRA Series 7, & 66 or 63/65 combo). What You Will Do: Act as a liaison between the registered representatives and their clients. Answer phones, schedule appointments, and prepare materials for ...

Cetera

Client Services Representative

Clarkstown, NY · On-site

$20.54 - $27.46/hr

... FINRA Series 7, & 66 or 63/65 combo). What You Will Do: Act as a liaison between the registered representatives and their clients. Answer phones, schedule appointments, and prepare materials for ...

Cetera

Client Services Representative

Clarkstown, NY

$20.54 - $27.46/hr

... FINRA Series 7, & 66 or 63/65 combo). What You Will Do: Act as a liaison between the registered representatives and their clients. Answer phones, schedule appointments, and prepare materials for ...

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Registered Representative Finra information

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$22.5K

$57.6K

$83.5K

How much do registered representative finra jobs pay per year?

As of Aug 18, 2026, the average yearly pay for registered representative finra in the United States is $57,604.00, according to ZipRecruiter salary data. Most workers in this role earn between $38,500.00 and $73,500.00 per year, depending on experience, location, and employer.

What is a registered representative FINRA?

A Registered Representative FINRA is a financial professional who is licensed to sell securities and investment products, such as stocks, bonds, and mutual funds, after passing qualifying exams administered by the Financial Industry Regulatory Authority (FINRA). These individuals typically work for brokerage firms or investment companies and must adhere to strict regulatory standards to ensure ethical conduct and investor protection. Registered Representatives must complete continuing education requirements and are subject to ongoing oversight by FINRA. Their primary role is to assist clients in making informed investment decisions and executing trades on their behalf.

What are the key skills and qualifications needed to thrive as a registered representative FINRA?

To thrive as a Registered Representative (FINRA), you need a solid understanding of financial markets, investment products, and compliance regulations, typically demonstrated through FINRA Series 7 and Series 63 or 66 licenses. Familiarity with trading platforms, customer relationship management (CRM) software, and compliance monitoring systems is essential. Excellent interpersonal, communication, and ethical judgment skills help build client trust and navigate complex financial situations. These competencies ensure effective client service, regulatory compliance, and successful business development in the financial industry.

What are some common challenges registered representatives face when balancing compliance requirements with client relationship management?

Registered Representatives often need to carefully balance their responsibility to comply with FINRA regulations while maintaining strong, trusting relationships with clients. This can be challenging, as it requires staying up-to-date with evolving compliance rules, ensuring all recommendations and transactions are properly documented, and sometimes having difficult conversations with clients about regulatory limitations. Effective representatives use clear communication and transparency to help clients understand the reasons behind regulatory requirements, which helps build trust and ensures ethical, legal standards are met. Regular training and collaboration with compliance teams are also crucial for navigating these challenges successfully.

What is the difference between Registered Representative Finra vs Stock Broker?

AspectRegistered Representative FinraStock Broker
CredentialsFINRA registration, Series 7 licenseOften the same, Series 7 license required
Work EnvironmentFinancial firms, brokerage officesFinancial firms, brokerage offices
Employer & IndustryBrokerage firms, securities industryBrokerage firms, securities industry
Search & Comparison IntentSimilar roles, different terminologySimilar roles, different terminology

Both Registered Representatives Finra and Stock Brokers perform similar functions in the securities industry, providing investment advice and selling securities. The main difference lies in terminology; 'Registered Representative Finra' emphasizes the regulatory registration, while 'Stock Broker' is a more general term used by the public. Both roles require Series 7 licensing and work within brokerage firms, making them closely related in credentials and work environment.

More about Registered Representative Finra jobs

What cities are hiring for Registered Representative Finra jobs?

Cities with the most Registered Representative Finra job openings:

What states have the most Registered Representative Finra jobs?

States with the most job openings for Registered Representative Finra jobs include:

What job categories do people searching Registered Representative Finra jobs look for?

The top searched job categories for Registered Representative Finra jobs are:

Registered Representative Finra jobs near you
Infographic showing various Registered Representative Finra job openings in the United States as of August 2026, with employment types broken down into 100% Full Time. Highlights an 100% In-person job distribution, with an average salary of $57,604 per year, or $27.7 per hour.

Managing Director, Broker-Dealer Supervision

NewEdge Capital Group LLC

Pittsburgh, PA • On-site, Remote

$176K - $200K/yr

Full-time

Re-posted 14 days ago

Job description

About the Role

NewEdge Securities is seeking a seasoned supervisory professional to serve as Managing Director of Broker-Dealer Supervision. This senior leader owns the design, implementation, and day-to-day management of the firm's supervisory framework across all registered representative and branch activity. The role is distinct from the compliance function and focuses on day-to-day operational supervision — ensuring the firm meets its FINRA Rule 3110 obligations and that supervisory controls are embedded in business processes firm-wide.

Location: The ideal candidate will report to one of the following offices: Pittsburgh, PA; Stamford, CT; or Fort Lauderdale, FL. However, remote candidates are encouraged to apply.

Key Responsibilities

  • Ensure alignment with Firm WSPs, current regulatory requirements and actual business practices
  • Execute daily supervisory review of registered representative activity across equities, fixed income, options, alternative investments, and annuity/insurance products
  • Oversee onboarding supervision of registered representatives, including review of U4/U5 filings and disclosure events
  • Manage escalation of supervisory findings to senior leadership; partner with the CCO where matters have compliance or regulatory implications
  • Supervise and develop the supervision team; set performance standards and manage workflow
  • Oversee CAT reporting obligations and ensure accuracy and timeliness of submissions in coordination with operations
  • Oversee TRACE reporting supervision for fixed income transactions, including exception review and error remediation
  • Administer and leverage Smarsh for electronic communications surveillance, including email and correspondence review
  • Administer and leverage Protegent for supervisory exception reporting and trade review
  • Monitor FINRA Notices and rule updates with direct supervisory implications and update WSPs accordingly
  • Coordinate with NFS on operational supervision matters related to the clearing relationship
  • Support FINRA cycle examinations and for-cause inquiries as the subject matter expert on supervisory systems and procedures
  • Maintain the firm's supervisory review logs and exception reporting infrastructure

Qualifications

  • 10+ years of broker-dealer supervision experience in a FINRA-regulated environment
  • Active Series 24 required; Series 9/10 a plus given options and equities business lines
  • Deep working knowledge of FINRA Rule 3110, 3120, 3130, and related supervisory obligations
  • Hands-on experience with trade review and electronic communications surveillance platforms including email and correspondence review; familiarity with Protogent preferred
  • Experience supervising across multiple product types including equities, fixed income, options, alternative investments, and annuities/insurance products
  • Experience with FINRA examination processes, particularly in a supervisory capacity
  • Proven ability to build and manage supervisory systems and procedures in a growing or evolving firm
  • Strong written communication skills; WSP drafting experience required
  • Excellent interpersonal and management skills with ability to work across the spectrum of clients, business partners and regulators
  • Must possess complex problem-solving skills to deal with the daily challenges that arise from supervising registered representatives that engage in multiple and different lines of business
  • Ability to address issues in an efficient manner in a fast-paced environment
  • Correspondent broker-dealer experience a plus
  • Investment advisor experience a plus

Apply