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$11

$27

$45

How much do series 4 jobs pay per hour?

As of Aug 6, 2026, the average hourly pay for series 4 in the United States is $27.68, according to ZipRecruiter salary data. Most workers in this role earn between $19.23 and $29.33 per hour, depending on experience, location, and employer.

What is the difference between Series 4 vs Series 7?

AspectSeries 4Series 7
Required CredentialsFINRA Series 4 licenseFINRA Series 7 license
Work EnvironmentPrimarily in the field, working with clients on the trading floor or in the fieldOffice-based, conducting securities transactions and client consultations
Employer & Industry UsageUsed by registered options principals and tradersUsed by general securities representatives and stockbrokers

The Series 4 license is mainly for options principals and traders, focusing on options trading and supervision. The Series 7 license is broader, allowing representatives to sell a wide range of securities, including stocks, bonds, and options. While both licenses are essential in the securities industry, the Series 7 offers more comprehensive trading authority, whereas the Series 4 is specialized for options trading supervision.

What skills and qualifications are needed to thrive as a Series 4?

To thrive as a Series 4 Registered Options Principal, you need a deep understanding of options trading regulations, supervisory principles, and compliance requirements, along with successful completion of the FINRA Series 4 exam. Familiarity with compliance software, trading platforms, and regulatory reporting systems is typically required. Strong analytical skills, attention to detail, and effective communication set standout professionals apart in this role. These skills and qualifications are crucial to ensure regulatory compliance, mitigate risk, and maintain the integrity of options trading operations.

How does the Series 4 role interact with compliance and regulatory teams within a financial services firm?

Professionals holding a Series 4 license, such as Registered Options Principals, frequently collaborate with compliance and regulatory teams to ensure that all options-related activities adhere to industry regulations and firm policies. This collaboration often involves reviewing marketing materials, supervising trading activities, and participating in audits or compliance reviews. Close communication helps proactively address regulatory changes and maintain the integrity of options trading operations. This teamwork is vital to minimizing risk and ensuring smooth, compliant business processes.

What is a Series 4?

A Series 4 license, also known as the Registered Options Principal (ROP) license, is a certification required by the Financial Industry Regulatory Authority (FINRA) for individuals who supervise options trading activities at broker-dealer firms. Series 4 professionals are responsible for overseeing options accounts, ensuring compliance with regulations, and managing the activities of options sales personnel. They play a crucial role in making sure that all options transactions and communications adhere to industry rules and firm policies. To obtain the Series 4 license, candidates must pass the Series 4 exam and typically already hold a Series 7 license.
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Series 4 jobs near you
Infographic showing various Series 4 job openings in the United States as of August 2026, with employment types broken down into 72% Full Time, 14% Part Time, and 14% Nights. Highlights an 86% In-person, and 14% Remote job distribution, with an average salary of $57,583 per year, or $27.7 per hour.

Junior Home Office Principal, Surveillance

Lincoln Investment

Fort Washington, PA • On-site, Remote

Full-time

Re-posted yesterday

Job description

Lincoln Investment is recognized as one of Philadelphia's Top Workplaces for fifteen years, is an independent broker dealer and registered investment advisor that offers brokerage, investment advisory and other financial services. Lincoln has about 1,000 financial professionals nationwide and we serve over 310,000 clients representing over $60 billion in assets. We are a majority family-owned financial services firm that regards our employees as integral players in our continuous growth. Lincoln Investment's success is built upon our dedication to helping people retire well and promoting a work environment that fosters success. Our financial strength and profitability are natural results of "helping people, having fun, and enjoying success." Lincoln Investment offers a competitive compensation and benefits package. Our Home Office is conveniently located in Fort Washington, PA, just outside of Philadelphia.
Basic Function: The primary responsibility of this position is to provide surveillance of firm-wide sales practices to detect and prevent trends that fail to be in compliance with firm policies and procedures and/or may be "at risk" issues for the firm.
Responsibilities
  • Daily review of Firm Exception Reports and Tools to identify activity or trends that pose a heightened risk to the firm and provide notification/reporting to Vice President of Supervision and/or Chief Compliance Officer when matter may be material.
  • Work with the Compliance Department, Designated Supervisors, Financial Professionals and Home Office Employees on the education, communication and enforcement of Lincoln's policies and procedures.
  • Contribute to the development and improvement of surveillance policies, procedures, and controls.
  • Other tasks as needed which may include but are not limited to:
    • Contribute to the update of procedural manuals or written supervisory procedures as needed.
    • Assist in the creation and/or implementation of new DS/FP Compliance Memorandums as needed.
    • Work on special projects as needed.

Skills
  • Ability to gather and analyze data to identify activity or trends that pose a risk to the firm and bring these matters to supervisor's attention.
  • Aptitude to assess a situation and make a decision on how to move forward.
  • Ability to keep accurate records.
  • Capacity to work independently.
  • Excellent oral and written communication skills.
  • Organizational and time management skills (e.g., ability to effectively manage multiple priorities).
  • Ability to conduct oneself in a diplomatic and professional manner.
  • Offer creative solutions to issues.
  • Project management capabilities.
  • Exceptional attention to detail.

Knowledge/Experience
  • One to three years of experience in the securities industry (preferably in compliance and/or supervision).
  • Working knowledge of FINRA, SEC, MSRB and ERISA rules & regulations as they apply to both broker/dealers and registered investment advisors.
  • Thorough understanding of securities products, insurance products (including variable annuities, equity indexed annuities and fixed annuities) and investment advisory programs.
  • Extensive word processing (Word) and spreadsheet (Excel) experience in Windows environment, presentation (PowerPoint) knowledge.

Education/Training
  • Bachelor's degree in a related field or the equivalent combination of education and/or experience

Certification/Licenses
  • Series 7, Series 24, Series 53, and Series 66 (or equivalent, i.e. Series 63 & Series 65) licenses required.
  • Series 9/10 preferable.
  • Series 4 helpful but not required.

Physical and Other Requirements
  • May sit at workstation for extended periods of time
  • May view computer screen for extended periods of time
  • Periods of fast pace are normal particularly when working to meet deadlines

Lincoln Investment is an equal opportunity employer. Lincoln Investment prohibits discrimination and harassment of any type and affords equal employment opportunities to employees and applicants without regard to race, color, religion, sex, sexual orientation, gender identity or expression, pregnancy, age, national origin, disability status, genetic information, protected veteran status, or any other characteristic protected by law. Lincoln Investment conforms to the spirit as well as to the letter of all applicable laws and regulations.

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