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Series 53 Jobs in Indiana (NOW HIRING)

UNAVAILABLE

Financial Advisor

Mishawaka, IN · On-site

$61 - $250/hr

Life/Accident & Health Certifications, Securities Industry Essentials (SIE), and Series 6, 7, and 63. Northwestern Mutual provides pre‑payment/reimbursement for course tuition fees and books.

New

UNAVAILABLE

Financial Advisor

Carmel, IN · On-site

$61 - $250/hr

Life/Accident & Health Certifications, Securities Industry Essentials (SIE), and Series 6, 7, and 63. Northwestern Mutual provides pre‑payment/reimbursement for course tuition fees and books.

New

Northwestern Mutual

Financial Advisor

Indianapolis, IN · On-site

$137K - $250K/yr

Life/Accident & Health Certifications, Securities Industry Essentials (SIE), and Series 6, 7, and 63. Northwestern Mutual provides pre-payment/reimbursement* for course tuition fees and books.

Northwestern Mutual

Financial Advisor

Crown Point, IN · On-site

$137K - $250K/yr

Life/Accident & Health Certifications, Securities Industry Essentials (SIE), and Series 6, 7, and 63. Northwestern Mutual provides pre-payment/reimbursement* for course tuition fees and books.

Northwestern Mutual

Financial Advisor

Indianapolis, IN · On-site

$61K - $250K/yr

Life/Accident & Health Certifications, Securities Industry Essentials (SIE), and Series 6, 7, and 63. Northwestern Mutual provides pre-payment/reimbursement* for course tuition fees and books.

Northwestern Mutual

Financial Advisor

Carmel, IN · On-site

$137K - $250K/yr

Life/Accident & Health Certifications, Securities Industry Essentials (SIE), and Series 6, 7, and 63. Northwestern Mutual provides pre-payment/reimbursement* for course tuition fees and books.

UNAVAILABLE

Financial Advisor

Evansville, IN · On-site

$61 - $250/hr

Life/Accident & Health Certifications, Securities Industry Essentials (SIE), and Series 6, 7, and 63. Northwestern Mutual provides pre-payment/reimbursement* for course tuition fees and books.

New

Northwestern Mutual

Financial Advisor

Indianapolis, IN · On-site

$61K - $250K/yr

Life/Accident & Health Certifications, Securities Industry Essentials (SIE), and Series 6, 7, and 63. Northwestern Mutual provides pre-payment/reimbursement* for course tuition fees and books.

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Showing results 21-40

All JobsSeries 53 JobsSeries 53 Jobs in Indiana

Series 53 information

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 skills and qualifications are needed to thrive as a Series 53 Municipal Securities Principal?

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 are 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 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 does the Series 53 allow you to do?

The Series 53 license allows individuals to supervise and oversee municipal securities activities, including the operation of municipal securities principal functions. It qualifies professionals to manage municipal securities underwriting, trading, and sales activities within a firm. This license is often required for those working in municipal securities firms or departments dealing with state and local government securities.

What are popular job titles related to Series 53 jobs in Indiana?

For Series 53 jobs in Indiana, the most frequently searched job titles are:

What job categories do people searching Series 53 jobs in Indiana look for?

The top searched job categories for Series 53 jobs in Indiana are:

What cities in Indiana are hiring for Series 53 jobs?

Cities in Indiana with the most Series 53 job openings:

Series 53 jobs near you
Infographic showing various Series 53 job openings in Indiana as of August 2026, with employment types broken down into 1% Internship, 84% Full Time, 12% Part Time, 1% Temporary, and 2% Contract. Highlights an 82% Physical, 5% Hybrid, and 13% Remote job distribution.

Workplace Financial Consultant - Fort Wayne, IN

Fidelity Investments

Fort Wayne, IN • On-site

Full-time

Retirement

Re-posted 25 days ago

Key responsibilities

  • Service local client companies on their campuses in person 4-5 days a week.

  • Provide personalized financial planning and investment guidance to participants through various educational events.

  • Partner with plan sponsors and internal teams to develop and execute engagement strategies that increase awareness, participation, and utilization of workplace benefits.

Fidelity Investments rating

8.7

Company rating: 8.7 out of 10

Based on 273 frontline employees who took The Breakroom Quiz

16th of 154 rated financial services

Job description


This role requires you to live near Fort Wayne, IN in order to service local client companies on their campuses in person 4-5 days a week.
Note: Fidelity will not provide immigration sponsorship for this position.
The Role
As a Workplace Financial Consultant (WFC) within Fidelity's Workplace Education, Planning & Advice (WEPA) organization, you serve as a trusted partner to plan sponsors, Human Resources representatives, participants, and internal Fidelity partners. In this role, you are responsible for driving participant engagement and maximizing the value of employer-sponsored benefits programs, including 401(k), 403(b), equity compensation, stock plans, and other workplace benefits. You partner directly with plan sponsors to develop and execute ongoing engagement strategies that increase awareness, participation, and utilization of available financial wellness and retirement programs.
Acting as a key liaison between plan sponsors and Fidelity business partners, including local branch teams, you help align resources and deliver a consistent high-quality experience for all. A core component of the role is providing personalized financial planning and investment guidance to participants through one-on-one consultations, group workshops, benefits fairs, help desk sessions, lunch-and-learns, and other educational events. Topics may include retirement planning, investment strategies, equity compensation, stock plans, tax-efficient investing, estate planning, and broader financial wellness concepts. Through proactive relationship management, education, and advice, you play a critical role in improving participant outcomes and strengthening Fidelity's partnership with plan sponsors.
The Expertise and Skills You Bring
  • Bachelor's degree preferred
  • 3+ years of experience in financial services, wealth management, retirement planning, or a related advisory role
  • FINRA Series 7 and Series licenses required (or ability to obtain Series 66 upon hire), with all applicable state registrations
  • Life and Annuity license preferred
  • CFP® or CRPC® designation preferred
  • Strong knowledge of financial planning concepts and retirement planning
  • 1-2 years of client-facing experience providing financial guidance, education, or consultation preferred
  • Demonstrated ability to effectively present and facilitate group workshops, educational sessions, and client meetings
  • Proven ability to develop and maintain relationships with plan sponsors, Human Resources partners, and workplace stakeholders
  • Strong communication, relationship-management, and consultative skills
  • Ability to promote participant engagement and increase utilization of workplace financial benefits and resources
  • Strong organizational skills with the ability to manage multiple client relationships and priorities simultaneously
  • Ability and willingness to travel in support of client engagement activities and workplace events (up to 75%)

The Team
The Workplace Education, Planning and Advice (WEPA) organization exists to help employees in our local workplace communities. Our mission is to serve as a trusted partner for plan sponsors and participants, providing education, financial planning and advice, both virtually and on-site, nationwide for our 401k, 403b, Equity Compensation and other benefits plan partners. Our value is delivered to over one million plan participants every year, inspiring them to reach their financial goals and bringing the broader Fidelity Advantage to life.
Fidelity's Onsite Working Model
Fidelity is transitioning to a full-time onsite working model through a phased rollout across regions and roles. Currently, some roles and locations require 100% onsite presence, while others require less. Onsite expectations are likely to evolve as the rollout continues. This transition does not apply to fully remote roles.
Certifications:
Series 07 - FINRA, Series 66 - FINRA
Category:
Sales
Please be advised that Fidelity's business is governed by the provisions of the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, numerous state laws governing securities, investment and retirement-related financial activities and the rules and regulations of numerous self-regulatory organizations, including FINRA, among others. Those laws and regulations may restrict Fidelity from hiring and/or associating with individuals with certain Criminal Histories.

What Fidelity Investments employees say

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