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Series 53 Jobs (NOW HIRING)

Mutual of Omaha

Regional Supervisory Principal

Omaha, NE · On-site +1

$75K - $100K/yr

Series 53) with the ability to obtain and maintain required state licenses, IAR registration, principal registration, and bonding. * Strong working knowledge of FINRA, SEC, and MSRB rules, with the ...

Mutual of Omaha

Regional Supervisory Principal

Torrance, CA · On-site +1

$75K - $100K/yr

Series 53) with the ability to obtain and maintain required state licenses, IAR registration, principal registration, and bonding. * Strong working knowledge of FINRA, SEC, and MSRB rules, with the ...

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Series 53 information

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$88K

$167.3K

$301.5K

How much do series 53 jobs pay per year?

As of Jun 12, 2026, the average yearly pay for series 53 in the United States is $167,291.00, according to ZipRecruiter salary data. Most workers in this role earn between $144,000.00 and $168,500.00 per year, depending on experience, location, and employer.

What professions make $500,000 a year?

Professions that can reach $500,000 annually include senior financial advisors, investment bankers, corporate executives, specialized surgeons, and successful entrepreneurs. In finance and healthcare, advanced certifications, extensive experience, and leadership roles are often required to achieve this level of income.

What trade makes 100,000 a year?

A Series 53 license is typically held by individuals managing municipal securities and related activities. While the license itself does not guarantee a specific salary, experienced municipal securities traders or managers in this field can earn $100,000 or more annually, especially with additional certifications, experience, and a strong client base.

What is the difference between Series 53 vs Series 7?

AspectSeries 53Series 7
Primary FunctionMunicipal securities dealer registration and complianceGeneral securities representative, including stocks and bonds
Required CertificationsSeries 53Series 7
Work EnvironmentMunicipal securities firms, regulatory complianceBroker-dealers, securities firms, retail and institutional sales
Industry UsagePrimarily in municipal securitiesBroader securities industry, including stocks, bonds, options

The Series 53 and Series 7 exams are both essential licenses in the securities industry. The Series 53 focuses on municipal securities dealer registration and compliance, while the Series 7 covers a wide range of securities transactions. Professionals often pursue Series 53 to specialize in municipal bonds, whereas Series 7 is more comprehensive for general securities trading. Understanding these differences helps candidates choose the right license based on their career focus in the securities industry.

What is a Series 53 license?

A Series 53 license is a professional qualification required for individuals who supervise the municipal securities activities of broker-dealers in the United States. The Series 53 exam, administered by the Municipal Securities Rulemaking Board (MSRB), tests knowledge of MSRB rules, federal securities laws, and regulatory requirements related to municipal securities. Passing this exam allows a person to act as a Municipal Securities Principal, overseeing compliance and operations related to municipal bond transactions.

What are some common challenges faced by professionals holding the Series 53 license when supervising municipal securities activities?

One of the main challenges for Series 53 professionals is staying current with the constantly evolving regulations and compliance requirements related to municipal securities. They must ensure that all transactions and supervisory procedures are in line with MSRB rules, which can be complex and subject to frequent updates. Additionally, balancing supervisory responsibilities across multiple departments and maintaining effective communication with registered representatives can be demanding. Strong organizational skills and ongoing education are essential for success in this supervisory role.

What are the key skills and qualifications needed to thrive as a Series 53 Municipal Securities Principal, and why are they important?

To thrive as a Series 53 Municipal Securities Principal, you need a deep understanding of municipal securities regulations, compliance procedures, and supervisory principles, typically validated by passing the Series 53 exam and holding prior securities licenses like Series 7 or Series 52. Familiarity with regulatory systems such as MSRB G-Systems and compliance monitoring tools is essential. Exceptional attention to detail, ethical judgment, and strong leadership skills help ensure effective supervision and adherence to legal standards. These competencies are crucial for maintaining regulatory compliance, minimizing risk, and upholding the integrity of municipal securities transactions.

What does the series 53 allow you to do?

The Series 53 license allows individuals to supervise and oversee the activities of municipal securities principal firms, including the approval of municipal securities transactions and advertising. It is typically required for municipal securities principals working in municipal finance firms and involves knowledge of municipal securities rules and regulations.

What job makes $10,000 a month without a degree?

A Series 53 license holder typically works as a municipal securities principal or supervisor, overseeing trading and compliance for broker-dealers. While the license itself does not guarantee a specific salary, experienced professionals in financial services or trading roles can earn $10,000 or more monthly through commissions, bonuses, and salary, especially with specialized skills and industry experience.
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Series 53 jobs near you
Supervisory Principal

Supervisory Principal

BOK Financial

Oklahoma City, OK

Full-time

Posted 2 days ago

Job description

Req ID: 78170 

Location: Oklahoma City -OKC 

Areas of Interest: Brokerage Services; Risk Management, Compliance; Wealth Management 

Pay Transparency Salary Range: Not Available 

Application Deadline: 07/15/2026

BOK Financial Corporation Group includes BOKF, NA; BOK Financial Securities, Inc. and BOK Financial Private Wealth, Inc. BOKF, NA operates TransFund and Cavanal Hill Investment Management, Inc. BOKF, NA operates banking divisions: Bank of Albuquerque; Bank of Oklahoma; Bank of Texas and BOK Financial®.

Bonus Type
Discretionary
Summary

We're building a culture at BOK Financial where amazing people (like you) can bring their best, be their best and work for the best. You've come to the right place to grow your career.

Job Description

The Supervisory Principal is responsible for supervising the sales activities of advisors as assigned. Other responsibilities include regular communication with advisors and sales managers regarding compliance regulations and serving as a subject matter expert on compliance questions and issues related to supervision and OSJ responsibilities.  Educating advisors and administrative staff on supervisory procedures will also be an important part of this role’s responsibilities.   

Team Culture

We act as trusted advisors for our clients and communities while using our disciplined approach and business savvy to make the right decisions. We are inspired by our team's entrepreneurial spirit.

We act with honor and truthfulness. Our foundation of integrity builds coworker trust, relationships, and effective interpersonal relationships. We live our company values every day.

How You'll Spend Your Time
  • You will review and supervise sales activities including the review of new business, trades, new accounts, emails and complex product purchases
  • You’ll develop any required training and criteria necessary for advisors monitoring their progress closely until supervision is no longer required
  • You will participate in day to day supervision of special projects, procedures and reviews requested by the Manager of Supervision
  • You will be required to have a working knowledge of securities regulations (FINRA, MSRB, and SEC)
  • You will have decision making skills and be an active partner in any conflict management
  • You will assist in the implementation of any new Compliance Alerts as needed
  • You will provide ongoing supervision review detail and support for the management of BOSC, Inc.
Education & Experience Requirements

This level of knowledge is normally acquired through completion of a Bachelor’s degree, professional certification/licensing in securities and 5+ years of experience in supervision or 9-11 years of equivalent work related experience in a broker/dealer or Office of Supervisory Jurisdiction location. 

Required Professional Licenses:  FINRA Series 7, 24

Preferred Licenses:  Series 65 or 66, Series 53 (or their equivalent).  Series 53 may be offered as a 90 day condition of employment. 

  • Supervision or compliance experience in an Office of Supervisory Jurisdiction or Broker/Dealer in a senior role
  • Thorough understanding of securities products, including annuities (variable, fixed, group and equity indexed), non-traditional alternative and illiquid products, and managed account programs
  • Working knowledge of securities regulations (FINRA, MSRB, and SEC)
  • Conflict management and decision making skills
  • Excellent oral and written communication skills
  • Excellent PC skills including Microsoft Office (Word and Excel)
  • Strong quantitative and analytical skills (statistics, database management, mathematical relationships, and logic)
Working Conditions & Physical Requirements
Office

BOK Financial Corporation Group is a stable and financially strong organization that provides excellent training and development to support building the long term careers of employees. With passion, skill and partnership you can make an impact on the success of the bank, customers and your own career!  
Apply today and take the first step towards your next career opportunity!
The companies in BOK Financial Corporation Group are equal opportunity employers.  We are committed to providing equal employment opportunities for training, compensation, transfer, promotion and other aspects of employment for all qualified applicants and employees without regard to sex, race, color, religion, national origin, age, disability, pregnancy status, sexual orientation, genetic information or veteran status.

Please contact recruiting_coordinators@bokf.com with any questions. 

Apply