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Series Nine Jobs in California (NOW HIRING)

Fidelity Investments

Branch Leader - Pasadena, CA

Pasadena, CA · On-site

$100K - $168K/yr

  • Medical

  • Retirement

  • PTO

Series 7 and 66 or 63/65 are required, and you must acquire the Series 9/10 upon hire * Background in relationship management and a deep understanding of financial services * Impressive time ...

Fidelity Investments

Branch Leader - Campbell, CA

Campbell, CA · On-site

$100K - $168K/yr

  • Medical

  • Retirement

  • PTO

Series 7 and 66 or 63/65 are required, and you must acquire the Series 9/10 upon hire * Background in relationship management and a deep understanding of financial services * Impressive time ...

Wells Fargo

Supervisory Control Specialist

San Jose, CA · On-site

  • Medical

  • Life

  • Retirement

  • PTO

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 ...

New

Wells Fargo

Supervisory Control Specialist

Pasadena, CA · On-site

  • Medical

  • Life

  • Retirement

  • PTO

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 ...

New

Wells Fargo

Supervisory Control Specialist

San Francisco, CA · On-site

  • Medical

  • Life

  • Retirement

  • PTO

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 ...

New

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Showing results 1-20

All JobsSeries Nine JobsSeries Nine Jobs in California

Series Nine information

What is the difference between Series Nine vs Data Analyst?

AspectSeries NineData Analyst
Required CredentialsTypically requires a degree in finance, economics, or related fields; certifications like CFA or CPA are commonRequires a degree in statistics, mathematics, or related fields; certifications like CAP or Microsoft Data Analyst are beneficial
Work EnvironmentFinancial institutions, investment firms, or corporate finance departmentsBusiness, tech companies, consulting firms, or healthcare organizations
Employer & Industry UsageUsed mainly in finance and investment sectorsUsed across various industries including tech, healthcare, and consulting

Series Nine professionals focus on financial analysis, investment strategies, and portfolio management within finance sectors. Data Analysts interpret data to support business decisions across multiple industries. While both roles require analytical skills and relevant certifications, Series Nine is specialized in finance, whereas Data Analysts have a broader application across industries.

What are popular job titles related to Series Nine jobs in California?

For Series Nine jobs in California, the most frequently searched job titles are:

What job categories do people searching Series Nine jobs in California look for?

The top searched job categories for Series Nine jobs in California are:

What cities in California are hiring for Series Nine jobs?

Cities in California with the most Series Nine job openings:

Series Nine jobs near you
Infographic showing various Series Nine job openings in California as of August 2026, with employment types broken down into 68% Full Time, 27% Part Time, 3% Temporary, and 2% Contract. Highlights an 84% Physical, 3% Hybrid, and 13% Remote job distribution.

Associate Regional Director

Jobtailor

Los Angeles, CA • On-site

$180 - $320/hr

Other

Posted 12 days ago

Job description

Responsibilities
  • Execute components of the region business plan with a focus on advisor productivity, strategic flows, and revenue growth.
  • Recruit, coach, and retain high‑performing talent, fostering a culture of inclusion, innovation, and respect regardless of team size or tenure.
  • Influence advisor engagement and client experience, ensuring alignment with enterprise priorities and directly coaching advisors to optimize impact.
  • Serve as a trusted advisor and problem solver for UHNW clients delivering customized, integrated solutions embedded in a strong risk culture.
  • Build relationships across lines of business and product groups to deliver the enterprise’s full capabilities, orchestrating firm and enterprise resources to solve complex client needs.
  • Act as the regulatory supervisor for multiple groups of private wealth advisors, partnering with Supervision and Control partners to oversee activities requiring advanced licensing (Series 9/10 and 3/31).
Requirements
  • Minimum 12 years professional experience.
  • Minimum 5 years management experience, with ability to lead at scale.
  • Must have Series 7, Series 63 and 65 or 66, Series 9 and Series 10, and the ability to obtain Series 31 or 3 within a short timeframe.
  • Advanced wealth management acumen, including UHNW products and strategies, regulatory and supervisory requirements, and industry trends.
  • Ability to travel up to 50% of the time.
Hard Skills
  • wealth management
  • regulatory supervision
  • advisor coaching
  • strategic planning
  • risk management
  • client engagement
  • problem solving
  • talent recruitment
  • performance optimization
  • relationship building
Soft Skills
  • leadership
  • communication
  • inclusion
  • innovation
  • respect
  • collaboration
  • influence
  • coaching
  • adaptability
  • client focus
Certifications & Qualifications
  • Series 7
  • Series 63
  • Series 65
  • Series 66
  • Series 9
  • Series 10
  • Series 31
  • Series 3
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