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Remote Series 63 information

What is a remote Series 63?

A Remote Series 63 job refers to a position where an individual, usually a securities agent, works remotely and holds the Series 63 license. The Series 63 license, also known as the Uniform Securities Agent State Law Exam, qualifies individuals to solicit orders for any type of security in a particular state. These jobs typically involve helping clients with investment products, ensuring compliance with state securities regulations, and conducting business online or over the phone instead of in an office. Remote Series 63 professionals often work for broker-dealers, financial advisory firms, or investment companies.

How does working remotely as a Series 63-licensed professional impact collaboration with clients and team members?

As a remote Series 63-licensed professional, you’ll primarily use digital communication tools to interact with both clients and colleagues. This model offers flexibility but requires strong organizational skills and proactive communication to ensure compliance and high-quality client service. You may participate in virtual meetings, share documents securely online, and coordinate with compliance teams to stay updated on regulations. Building trust and maintaining clear communication are crucial, as you won’t have the benefit of face-to-face interactions typical in traditional office settings.

What are the key skills and qualifications needed to thrive as a remote Series 63-licensed professional, and why are they important?

To thrive as a Remote Series 63-licensed professional, you need solid knowledge of securities regulations, investment products, and a valid Series 63 license. Familiarity with CRM platforms, compliance monitoring systems, and secure remote communication tools is typically required. Exceptional organization, ethical judgment, and strong client communication skills make someone stand out in this role. These abilities ensure regulatory compliance, effective client management, and the ability to build trust while working remotely.

What is the difference between Remote Series 63 vs Remote Securities Trader?

AspectRemote Series 63Remote Securities Trader
CertificationsSeries 63 licenseSeries 7 license, Series 63 often required
Work EnvironmentRegulatory compliance, client interactions, licensing examsTrading platforms, market analysis, client orders
Industry UsageFinancial advisory, brokerage complianceBrokerage firms, trading desks

The Remote Series 63 primarily focuses on regulatory compliance and licensing for securities agents, while Remote Securities Traders are involved in executing trades and market analysis. Both roles are common in brokerage firms, but the Series 63 is often a prerequisite for securities agents, whereas traders focus on market activities. Understanding these differences helps professionals choose the right certification and career path in the financial industry.

What are popular job titles related to Remote Series 63 jobs in Wisconsin?

For Remote Series 63 jobs in Wisconsin, the most frequently searched job titles are:

What job categories do people searching Remote Series 63 jobs in Wisconsin look for?

The top searched job categories for Remote Series 63 jobs in Wisconsin are:

Remote Series 63 jobs near you
Infographic showing various Remote Series 63 job openings in Wisconsin as of August 2026, with employment types broken down into 1% Internship, 83% Full Time, 13% Part Time, 1% Temporary, and 2% Contract. Highlights an 82% Physical, 4% Hybrid, and 14% Remote job distribution.

Brokerage Services Registered Analyst - Series 7/63 - Remote

Franklin, WI • On-site, Remote

Northwestern Mutual Life Insurance Company
Finance and Insurance • 5 - 10K employees

8.0

Company rating: 8.0 out of 10

Based on 76 frontline employees who took The Breakroom Quiz

171st of 315 rated insurance

People enjoy working here

Good employer

Recommended by students

Learn more about Northwestern Mutual Life Insurance Companyexternal

$34.66/hr

Full-time

Posted 27 days ago

Job description

The Investment Client Services Analyst (Series 7/63) is a licensed, client-facing role responsible for supporting clients and registered financial representatives with investment account questions, performance inquiries, and securities transactions.
Success in this role requires strong investment product knowledge, the ability to de-escalate complex situations, and ownership of issues through resolution. The analyst also contributes to continuous improvement efforts, embraces new technology, and educates clients and field partners on digital/self-service capabilities-helping strengthen relationships and support client retention.
Primary Duties & Responsibilities:
  • Provide consultative service to clients and advisors on a variety of investment concepts
  • Act as a point of expertise on multiple areas: mutual fund trading, brokerage account servicing, cost basis, and tax reporting
  • Participate in opportunities to apply industry knowledge while gaining exposure to complex problems and building upon critical thinking skills
  • Collaborate regularly with department leads and NM Wealth business partners to drive product enhancements
  • Work in a dynamic setting to continuously learn new concepts and help others navigate change in the industry
  • Serve as a primary point of contact for NM Investment home office assigned clients, addressing inquiries regarding investment accounts and products.
  • Analyze, input, and review investment transactions, including trade executions, transfers, and account maintenance, while ensuring accuracy and compliance.
  • Stay up-to-date on industry trends, investment products, and regulatory requirements to provide knowledgeable support to clients and internal stakeholders.

Qualifications
  • FINRA Series 6 or 7 and 63-equivalent licenses (65 or 66)
  • Associates degree in business or related field or equivalent combination of education and experience
  • Minimum of 3 years related financial services experience with advanced customer service, written, and verbal communication skills
  • An intermediate understanding of tax implications related to investments
  • A strong desire to continuously learn and improve
  • Strong problem-solving and scenario-evaluation skills with an ability to provide solution

This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.Series 63 - FINRA, Series 7 - FINRA, SIE - FINRA
Compensation Range:
Pay Range - Start:
$23.11
Pay Range - End:
$34.66
Geographic Specific Pay Structure:
Structure 110:
Structure 115:
We believe in fairness and transparency. It's why we share the salary range for most of our roles. However, final salaries are based on a number of factors, including the skills and experience of the candidate; the current market; location of the candidate; and other factors uncovered in the hiring process. The standard pay structure is listed but if you're living in California, New York City or other eligible location, geographic specific pay structures, compensation and benefits could be applicable, click here to learn more.
Grow your career with a best-in-class company that puts our clients' interests at the center of all we do. Get started now!
Northwestern Mutual is an equal opportunity employer that welcomes talented individuals of all backgrounds. We are committed to creating and maintaining an environment in which each employee can contribute creative ideas, seek challenges, assume leadership and continue to focus on meeting and exceeding business and personal objectives.
Northwestern Mutual logo

About Northwestern Mutual

Sourced by ZipRecruiter

Northwestern Mutual has been helping families and businesses achieve financial security for over 160 years through a distinctive planning approach that integrates risk management with wealth accumulation, preservation, and distribution. With more than $290 billion in assets, $30 billion in revenues and more than $1.9 trillion worth of life insurance protection in force, Northwestern Mutual delivers financial security to more than 4.6 million clients. People are the power behind Northwestern Mutual, and diversity makes us better. We are committed to reflecting and serving the marketplace. We do so by attracting and improving the engagement of those who bring their outstanding perspectives, ideas, and beliefs.

Industry

Finance and insurance

Company size

5,001 - 10,000 Employees

Headquarters location

Milwaukee, WI, US

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