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Series 9 10 Jobs (NOW HIRING)

Wells Fargo

Supervisory Control Specialist

Albany, NY · On-site

Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7, 9/10 (or 24 where applicable), and 63 (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA ...

Wells Fargo

Supervisory Control Specialist

Boston, MA · On-site

Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7, 9/10 (or 24 where applicable), and 63 (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA ...

Charles Schwab

VP, Branch Manager - Troy, MI

Troy, MI · On-site

$170K - $210K/yr

Active and valid Series 9/10 license required (may be obtained within a 90-day condition of employment) * Active and valid Life and Health Insurance license (may be obtained within a 120-day ...

Charles Schwab

VP, Branch Manager - Troy, MI

Troy, MI · On-site

Active and valid Series 9/10 license required (may be obtained within a 90-day condition of employment) * Active and valid Life and Health Insurance license (may be obtained within a 120-day ...

Wells Fargo

Supervisory Control Specialist

Buffalo, NY · On-site

Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7, 9/10 (or 24 where applicable), and 63 (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA ...

Wells Fargo

Supervisory Control Specialist

Ithaca, NY · On-site

Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7, 9/10 (or 24 where applicable), and 63 (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA ...

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All JobsSeries 9 10 Jobs

Series 9 10 information

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$11

$27

$45

How much do series 9 10 jobs pay per hour?

As of Sep 12, 2026, the average hourly pay for series 9 10 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 a Series 9 10?

A Series 9/10 job typically refers to a role as a General Securities Sales Supervisor, responsible for overseeing sales activities in a brokerage firm. Professionals holding these licenses supervise financial advisors, ensure compliance with industry regulations, and manage trading practices. The Series 9 exam focuses on options supervision, while the Series 10 exam covers broader supervisory responsibilities, including sales practices and regulatory compliance. These roles are crucial in maintaining ethical and legal standards within financial institutions.

What are the common responsibilities of a Series 9 10 licensed supervisor in a brokerage firm?

Series 9/10 licensed supervisors are primarily responsible for overseeing the sales practices of registered representatives, ensuring compliance with regulatory requirements, and addressing escalated client issues. They regularly review and approve trading activities, monitor for potential violations, and provide guidance to team members on best practices and compliance standards. The role involves working closely with compliance departments, managers, and advisors, often requiring timely decision-making and clear documentation of supervisory actions. This position is well-suited for professionals who enjoy leading teams and playing a crucial role in upholding ethical standards within financial institutions.

What are the key skills and qualifications needed to thrive in the Series 9 10 position?

To excel as a Series 9/10 licensed professional (often a General Securities Sales Supervisor), you need a deep understanding of securities regulations, broker-dealer operations, and supervisory principles, typically supported by passing the FINRA Series 9 and Series 10 exams. Familiarity with compliance software, trade monitoring systems, and FINRA regulatory frameworks is crucial for overseeing sales activities. Strong leadership, attention to detail, and effective communication skills set top performers apart. These abilities are essential to ensure regulatory compliance, manage teams effectively, and maintain the integrity of financial operations.

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Series 9 10 jobs near you
Infographic showing various Series 9 10 job openings in the United States as of September 2026, with employment types broken down into 72% Full Time, 14% Part Time, and 14% Contract. Highlights an 100% In-person job distribution, with an average salary of $57,583 per year, or $27.7 per hour.

VP, Branch Manager-Studio City, CA

Los Angeles, CA • On-site

Charles Schwab
See more jobs at Charles Schwabexternal

Full-time

Medical, Dental, Vision, Retirement

Posted 15 days ago

Job description

Your opportunity

At Schwab, you’re empowered to make an impact on your career. Here, innovative thought meets creative problem solving, helping us “challenge the status quo” and transform the finance industry together.  

As a Branch Manager, you work in the most critical role at the local market level, providing the service, advice, and leadership that have made us the force we are today. A central part of your role will be inspiring your team of financial professionals as they provide investment guidance and support to clients. You will be responsible for increasing branch revenue while expanding its client base. Additionally, you will work closely with your team of Financial Consultants (FC), and Investment Consultants (IC) in implementing large scale and tactical sales strategies. Your typical day will include sales coaching, sales process management, training delivery, performance management and recognition, client presentations, interviewing prospective employees, collaborating with business partners, sharing of best practices, and performing compliance and administrative tasks characteristic of our industry. If you’re looking to bring your expertise and passion for leadership to a new role with a firm that will value your contributions and champion your growth, this may be the opportunity for you.  

What you have

Required qualifications  

  • Active and valid Series 7 license 
  • Active and valid Series 66 (63/65) license required 
  • Active and valid Series 9/10 license required 
  • Active and valid Life and Health Insurance license 
  • Bachelor’s degree or equivalent, or equivalent work-related experience 
  • 4+ years financial sales leadership experience 

Preferred qualifications  

  • Active and valid FINRA Series 24 license  
  • CFP, CFA, CIMA, and/or AAMS  
  • Strong leadership, management, and motivational skills  
  • A desire to lead, a passion for sales management, and a deep commitment to client service  
  • Proficient in establishing quality cross-enterprise partnerships 
  • Strong candidates will also have excellent communication skills and a track record of success in sales and sales leadership 

What’s in it for you

At Schwab, you’re empowered to shape your future. We champion your growth through meaningful work, continuous learning, and a culture of trust and collaboration—so you can build the skills to make a lasting impact.

We offer a competitive benefits package that takes care of the whole you – both today and in the future:

  • 401(k) with company match and Employee stock purchase plan
  • Paid time for vacation, volunteering, and 28-day sabbatical after every 5 years of service for eligible positions
  • Paid parental leave and family building benefits
  • Tuition reimbursement
  • Health, dental, and vision insurance

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