ZipRecruiter

Log In

1

Series 53 Jobs in Rochester, NY (NOW HIRING)

Northwestern Mutual

Financial Advisor

Pittsford, NY

$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

Pittsford, NY · 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

Pittsford, NY · 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

Pittsford, NY

$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

Pittsford, NY · 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

Pittsford, NY · 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

Pittsford, NY

$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

Pittsford, NY · 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

Pittsford, NY · 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

Pittsford, NY · 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.

Morgan Stanley

Client Service Associate

Rochester, NY · On-site

$35K/yr

Willingness to obtain Series 7 (GS), and Series 66 (AG/RA) or Series 63 (AG) and Series 65 (RA) Knowledge/Skills * Detail orientated with superior organizational skills and ability to prioritize

next page

Showing results 1-20

All JobsSeries 53 JobsSeries 53 Jobs in Rochester, NY

Series 53 information

See Rochester, NY salary details

$86.8K

$165.1K

$297.5K

How much do series 53 jobs pay per year?

As of Aug 11, 2026, the average yearly pay for series 53 in Rochester, NY is $165,061.00, according to ZipRecruiter salary data. Most workers in this role earn between $142,100.00 and $166,300.00 per year, depending on experience, location, and employer.

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 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 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 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 bond sales, trading, and related activities within a municipal securities firm. This license is often required for those working in municipal securities supervision and compliance roles.
What are popular job titles related to Series 53 jobs in Rochester, NY? For Series 53 jobs in Rochester, NY, the most frequently searched job titles are:
What job categories do people searching Series 53 jobs in Rochester, NY look for? The top searched job categories for Series 53 jobs in Rochester, NY are:
What cities near Rochester, NY are hiring for Series 53 jobs? Cities near Rochester, NY with the most Series 53 job openings:
Series 53 jobs near you

Self-Direction Staff - Com Hab

Epilepsy-Pralid, Inc.

Brockport, NY • On-site

$28 - $30/hr

Full-time

Re-posted 17 days ago

Job description

We accept applications for open positions. We are an equal opportunity employer.
ID #14026
Job Purpose:
  • Assist individuals with brain injury, intellectual disabilities, and other neurological disabilities in achieving a challenging, stimulating, dignified life by serving as an advocate and liaison for and on behalf of individuals' rights and benefits.

Essential Functions:
  • Provide supervision, training, and assistance in accomplishing activities of daily living, which includes, but is not limited to, self-care skills, social skills, recreation skills, community skills, and domestic skills for a 53 year old man. Looking for staff to assist with invoices and getting out into the community. Also looking for staff to assist with independent living skills per his SAP. He loves the Raiders and is also into NHL hockey. He's also into music and movies and collects Harley Davidson items.

Location: Brockport, NY
Schedule:
  • Full Time (30-34.9)
  • Sun-Sat as needed

Pay Rate: $28/hr-$30/hr
Education and Experience:
  • High school graduate or equivalent; one-year experience in the human service field preferred.

Qualifications:
  • Maintain a valid New York State driver's license; a vehicle is required to perform the job
  • Must be able to lift 50 pounds
  • Must be trained in all required trainings within 90 days of being hired and maintain current certifications with all required trainings
  • Must demonstrate effective verbal and written communications skills
  • Must be 18 years or older
  • Applicants cannot have the same address as person supported

Physical Demands:
  • The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job.
  • Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
  • Must be able to lift, transfer, and move at least 50 lbs.
  • Must be able to talk, hear, stand for extended periods of time, walk, sit, twist, bend, use hand to finger, stretch with hands and arms
  • Specific vision abilities required by this job include
  • Close vision
  • Ability to adjust focus

While performing the duties of this position, the employee travels by automobile and will be exposed to changing weather conditions.
OSHA Category 1:
This position requires tasks that involve exposure to blood or body fluids that requires specific training for the employees' safety.
All Empowering People's Independence employees are offered the opportunity to receive Hepatitis B vaccination series.
Empowering People's Independence(EPI)
1650 South Avenue
Rochester, N.Y. 14620
(585) 442-6420
sdhr@epiny.org

Apply