Series 63

Series 63 Finance Jobs

43 jobs found

Financial Advisor

Kellogg Community Credit Union Battle Creek, MI

9d ago

Full time Marketing Advisor Business Development

Marketing Advisor Business Development

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Job Description

The Financial Advisor role at Kellogg Community Credit Union is an onsite position in Battle Creek, MI, focused on promoting investment services, processing securities transactions, and managing client relationships across branch offices.

Responsibilities

Process securities orders to facilitate sales activity from receipt to execution.
Qualify prospects and open new brokerage accounts for clients who do not require a personal Financial Advisor meeting.
Lead the planning and execution of seminars, campaigns, and sales literature across the offices in their market.
Design and oversee branch training and referral initiatives.
Set up brokerage accounts and assemble all required documentation to open them.
Handle cashing and booking of checks and stock certificates, ensuring compliance with legal requirements for stock certificates in brokerage accounts.
Track and close all outstanding paperwork.
Process journals between brokerage accounts.
Coordinate with the corporate office to resolve issues.
Establish and maintain mutual fund periodic investment plans and systematic withdrawal plans.
Configure money movement arrangements, including ACH or EFT transfers, to settle trades.

Requirements

A college degree or equivalent business experience is required; related experience may substitute for formal education.
Securities licenses Series 7 and 63, plus a State Insurance License.
Minimum of two years of experience in a related role.
Clean U-4 on file.
Customer relations and sales experience is required.
Actual business experience in the field.
Ability to learn the detailed requirements of the position.
Participation in all required compliance training, including Bank Secrecy Act / anti-money laundering training, along with internal and external training programs, online courses, meetings, and seminars.

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Financial Sales Representative - Career Changer (Training Provided)

Northwestern Mutual Manchester, NH

12d ago

$60k - $110k/yr Full time Advisor Business Development Career

Advisor Business Development Career

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Job Description

Responsibilities

Develop a client base by expanding relationships within your network and gaining depth in Northwestern Mutual financial products and current market trends.
Expand your knowledge beyond initial training through sponsored licensing and ongoing education, leveraging tools and illustrations to explain plan options to clients.
Influence clients toward informed decisions by presenting opportunities to safeguard and grow their financial position with expert guidance.
Own the growth and management of your book of business, refining skills and gradually building a team as you mature in your role.
Regularly review and adjust client financial plans to continue delivering tailored, optimal advice.

Requirements

Bachelor’s degree or equivalent professional experience
Entrepreneurial mindset with a drive to build and scale a client base
Proven success in sales, athletics, military, client services, or other client-facing roles
Excellent time-management and organizational skills
Commitment to ongoing learning and professional development
Legal authorization to work in the United States without sponsorship

Benefits

Compensation structure designed to support early career development
Renewable income stream as you grow your book of business
Bonus programs and expense allowances
Licensing support for insurance licenses, SIE, Series 6, Series 63, CFP®, and related credentials
Retirement package and pension plan
Medical, dental, vision, life insurance and disability income protection
Family planning resources

Compensation

Salary: $60,000.00 – $110,000.00 per year

Location

Manchester, NH (onsite)

Work Location

Hybrid remote arrangement in Manchester, NH 03101

Relocation

Relocation to Manchester, NH 03101 required prior to starting

Ability to Commute

Must be able to commute to Manchester, NH 03101

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Financial Sales Representative - Career Changer (Training Provided)

Northwestern Mutual Andover, MA

12d ago

$60k - $110k/yr Full time Advisor Business Development Career

Advisor Business Development Career

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Job Description

Northwestern Mutual is recruiting a career-changer for a Financial Sales Representative role serving clients across Northern New England. This full-time position blends client acquisition with delivering personalized financial planning, backed by industry-leading training and mentorship. The role operates onsite in Andover, Massachusetts, and provides a defined path from foundational training to building a growing advisory practice.

Responsibilities

Build a client base by expanding relationships within your network and gaining knowledge of Northwestern Mutual financial products and current market trends.
Educate yourself beyond initial training through sponsored licensing and ongoing development. Leverage assistive software, reporting tools, and illustrations to inform clients about potential plans.
Influence clients by presenting opportunities to protect and prosper, guiding them to action through expert recommendations.
Own the development and management of the business as you refine your craft and consider building a team. Regularly review and maintain client financial plans to provide optimal guidance.

Requirements

4-year degree, or equivalent professional work experience
Entrepreneurial ambitions
History of success in sales, athletics, military, client services, or client-facing roles
Excellent time-management skills
Desire for continuous learning
Legal authorization to work in the US without sponsorship

Benefits

Commission structure to support early development
Renewable income
Bonus programs and expense allowances
Support for insurance licensing, SIE, Series 6, Series 63, CFP, and more
Retirement Package and Pension Plan
Medical, Dental, Vision, Life Insurance and Disability Income Insurance
Family Planning
401(k)
Dental insurance
Flexible schedule
Health insurance
Tuition reimbursement
Vision insurance

Job Type

Full-time

Pay

USD 60,000 - 110,000 per year

Work Location

Hybrid remote in Andover, MA 01810

Why Join Northwestern Mutual

#90, Fortune 100 company (2021)
Forbes' Best Employers for Diversity (2018-2020)
Top 10 US Independent Broker-Dealers
#1 Amongst Life Insurers Most Admired Companies for Financial Soundness
Best Place to Work for LGBTQ+ Equality — Human Rights Campaign Corporate Equality Index (2015-2021)
$224 billion in retail investment client assets held or managed

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Wealth Advisor, Schwab Wealth Advisory

Charles Schwab Chicago, IL

13d ago

$110k - $154k/yr Full time 401k Advisor Advisory

401k Advisor Advisory

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Job Description

The Wealth Advisor role, based onsite in Chicago, IL, is part of Charles Schwab's Schwab Wealth Advisory (SWA). This fiduciary, non-discretionary position delivers investment guidance to clients using a broad product set and a collaborative team approach, with compensation in the range of USD 110,000 to 154,000 per year.

Responsibilities

Establish and maintain a personal client relationship, delivering specialized service and ongoing guidance aligned with Schwab's investing approach.
Operate as a fiduciary within a dedicated Schwab Wealth Advisory team to deliver an exceptional client experience.
Utilize a wide array of investment vehicles, including stocks, bonds, ETFs, mutual funds, separately managed accounts, and options trading, to manage complex portfolios and help clients pursue their goals.
Grow within an experienced, collaborative team and deepen relationships with various partners, including industry leading advisors.

Requirements

Bachelor’s degree
Active FINRA Series 7 license
CFP or CFA designation; may be obtained with a 120-day condition of employment for certified and current CFP designation or CFA designation holders, verified before hire
Active FINRA Series 66 license; may be obtained within the first 120 days
Three or more years of advisory experience, including creating and customizing financial plans and portfolios for clients
Five or more years in the financial services industry working directly with clients

Benefits

401(k) with company match and Employee Stock Purchase Plan
Paid time for vacation, volunteering, and a 28‑day sabbatical after every five years of service for eligible positions
Paid parental leave and family building benefits
Tuition reimbursement
Health, dental, and vision insurance

Position Type

Regular

Your Opportunity

Schwab supports you in making a meaningful impact on your career within an environment that blends innovative thinking with practical problem solving. The selected candidate is expected to work onsite in Chicago, IL. As a Wealth Advisor within Schwab Wealth Advisory (SWA), you will join a premier, fee‑based, non‑discretionary investment advisory solution that emphasizes a personal relationship, specialized service, and ongoing guidance built on Schwab's investing approach. You will influence clients’ financial outcomes as a fiduciary within a dedicated SWA team to deliver an outstanding client experience. SWA's advisory philosophy enables you to employ a broad range of investment options to help clients reach their goals.

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Financial Advisor - BMO Bank

LPL Financial Milwaukee, WI

17d ago

$80k - $120k/yr Full time Advisor Banking Banking

Advisor Banking Banking

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Job Description

These are the Financial Advisor opportunities with LPL Financial at BMO Bank in Milwaukee, WI (onsite), offering a salary range of USD 80,000 to 120,000 per year. This position is not an employee of LPL Financial.

Responsibilities

Build a robust client base through the bank's established referral network.
Grow new client relationships by leveraging the bank's existing client base.
Develop client solutions without reliance on proprietary products, tailored to individual goals.
Scale your advisory practice with LPL's tools, technology, and comprehensive support.
Benefit from LPL's experience helping financial institutions expand and optimize investment programs.
Leverage the bank's reputation and community standing to deepen client engagement.

Requirements

Active Series 7 and Series 66 licenses required; Series 63/65 equivalents are acceptable.
Insurance license required.
Three or more years of investment sales experience.

Benefits

Access to proprietary technology and a suite of customized services.
Open architecture platform with access to thousands of investment products from leading third-party sponsors.
Resources and expertise across the firm to help you create client solutions.
The freedom to create solutions specific to your client’s goals.

Disclosures

These investment products and services are being offered through LPL or its affiliates, which are separate entities from, and not affiliates of, BMO Bank.

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Financial Advisor

Daybright Financial Butler County, PA

24d ago

$50k+/yr Full time Advisor Annuities Bachelor's Degree

Advisor Annuities Bachelor's Degree

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Job Description

Company overview

Daybright is one of the largest independently owned insurance brokerage firms in the United States, delivering a comprehensive suite of employee benefits, compliance, and HR consulting services in addition to retirement solutions for both private and public sectors. Established in 2008, the firm now serves more than three million participants nationwide across K-12, Corporate, and Government markets. For more information, please visit www.daybright.com.

Opportunity

Daybright is actively seeking a Financial Advisor or professionals to join the Individual Financial Solutions segment within the Kades-Margolis Corporation team. Openings are available in Pennsylvania, and this role is remote with most candidates residing in Pennsylvania counties including Berks, Blair, Butler, Huntington, Northern Bedford, Mercer, and Lawrence.

The Daybright advantage

The focus is on a stable, well-defined market with protected territories that provide ample opportunities without cold calling. Kades-Margolis Advisors dedicate time to building relationships with centers of influence, delivering group presentations, and meeting individuals one-on-one to discuss wealth management and retirement planning. As Advisors establish themselves, they may be trusted with existing client relationships to accelerate growth. The sales model emphasizes relationship-building and leveraging networking and presentation skills within an endorsed market niche where clients are already seeking guidance.

What you will enjoy

Unlimited compensation potential to expand your book of business with no cap on commissions
Transition opportunities with no cold marketing required
Remote field work arrangement
Collaborative opportunities with established Advisors and existing client relationships, while developing new ones
Marketing support to coordinate financial presentations, seminars, and client appreciation events
Affinity prospecting through relationships within the served markets to generate effective leads
Comprehensive, ongoing training and development covering systems, processes, products, and other role aspects
Strategic business planning with the Sales Management Team based on the individual advisor and territory
Initial licensing fees and E and O insurance paid for by Kades-Margolis
Client Service Support Center with a dedicated Client Service Representative for various client service needs
A culture that blends entrepreneurship with value-added benefits to support success

Job description

This role represents a distinctive worksite sales and marketing opportunity for the right Financial Advisor. Key responsibilities include:

Interviewing clients to determine current income and expenses, insurance coverage, tax status, financial objectives, risk tolerance, and other data necessary to develop a financial plan
Assessing financial information to identify strategies that help clients meet their objectives
Selling financial products such as investment advisory services, annuities, mutual funds, and insurance (licenses required)
Engaging with the Pennsylvania education system to establish and cultivate relationships with centers of influence and employees to assist in retirement planning
Reviewing client accounts and plans regularly to determine if life changes, economic changes, or financial performance indicate a need for reassessment
Recommending strategies to help clients reach their goals, including cash management, insurance coverage, and investment planning
Building and maintaining a client base, keeping plans current, and continuously recruiting new clients
Answering client questions about the purposes and details of financial plans and strategies

The successful candidate will have

Bachelor’s degree (Finance or a related field preferred)
Excellent sales and communication skills
Self-motivated with the ability to work independently
Need to have or be willing to obtain (KMC will sponsor):
College Graduates: SIE completion or in process
Employed Candidates: Securities registration (FINRA SIE, Series 6 or 7 and 63, or 66). If licensed, must have a clean FINRA BrokerCheck
PA Life & Health Insurance license

Job details

Job Type: Full-time, Permanent
Base Pay: From $50,000.00 per year
Benefits:
- 401(k)
- 401(k) matching
- Dental insurance
- Employee assistance program
- Flexible spending account
- Health insurance
- Health savings account
- Life insurance
- Paid time off
- Referral program
- Retirement plan
- Vision insurance
Work Location: Remote

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Private Equity Investment Sales Associate

Paulson Investment Company, LLC Newport Beach, CA

24d ago

$50k - $200k/yr Full time Associate Biotechnology Broker-Dealer

Associate Biotechnology Broker-Dealer

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Job Description

About the Firm

Paulson Investment Company, LLC is a boutique firm offering investment banking, wealth management, execution services, and retail brokerage and advisory services. We focus on micro to mid-cap markets, across both public and private companies, delivering a broad range of investment banking services, fee-based advisory solutions, trading, market making, and financial products to our clients.

Role Overview

We are looking to add Private Equity Investment Sales Associates, registered investment advisors, financial sales professionals, and proven producers to provide wealth management services and to market investment banking products to institutions and high net worth individuals. For qualified candidates with prior sales or financial industry experience, we offer sponsorship for Series 7, 63, 65, and/or 66 licensing, along with training and partnerships with established Private Equity Investment Sales and Investment Advisory teams.

Product Focus

Our emphasis includes private investments in public equity (PIPES), registered direct offerings, Regulation D offerings, secondaries, and initial public offerings (IPOs), with a focus on emerging biotechnology and technology companies.

Opportunity and Licensing

This is a commission-based position, with draw packages available for those who bring an existing book of business or meet other qualifying criteria.

Requirements and Qualifications

Two or more years of client-facing experience
FINRA licensing required: Series 7/63 and 65 or 66
Experience in Center of Influence marketing
Excellent communications and persuasive abilities
Self-motivated, high energy
Transferable book of business highly desired

Compensation and Benefits

Salary: $50,000.00 - $200,000.00 per year
Benefits: 401(k), Dental insurance, Flexible spending account, Health insurance, Paid time off, Vision insurance

Location

Newport Beach, CA 92660

Equal Opportunity

All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, protected veteran status, or disability status. Paulson Investment Company, LLC is an equal opportunity employer for Minorities, Females, People with Disabilities, Protected Veterans, Sexual Orientation, and Gender Identity.