Series 66

Series 66 Finance Jobs

71 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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Licensed Premier Relationship Banker (Series 7/66, Life/Health)

Rhinebeck Bank Poughkeepsie, NY

9d ago

$65k - $85k/yr Full time 66 Advisor Banker

66 Advisor Banker

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Job Description

This on-site, branch-based role in Poughkeepsie focuses on growing deposits, expanding consumer lending, and identifying investment opportunities while delivering high quality customer experiences. The position requires a bachelor’s degree in Finance, Economics, Business, or a related field, along with FINRA licenses and a NYS Life/Health Insurance license. The compensation range for this role is between $65,000 and $85,000 annually, depending on experience.

Responsibilities

Proactively engage with customers to uncover banking, lending, and investment opportunities aligned with their financial goals.
Oversee the end-to-end origination of consumer loans, including home equity loans, while ensuring all regulatory requirements are met.
Direct clients to Financial Advisors or Mortgage Loan Partners as appropriate to achieve optimal outcomes.
Provide coaching and mentorship to junior Universal Bankers to support their development.
Travel between branches as needed to serve customers and support the growth of the branch network.

Requirements

Licensing: FINRA Series 7 and 66, plus NYS Life/Health Insurance License.
Proven sales success in outbound outreach and relationship management.
Strong verbal and written communication skills with a focus on delivering exceptional service.
Organizational and coaching abilities to prioritize tasks and mentor junior staff.
Education: Bachelor’s degree in Finance, Economics, Business, or related field preferred.
Valid driver’s license and the ability to travel between branches as needed.

Benefits

Competitive compensation: $65,000 to $85,000 based on experience.
Health, dental, and vision coverage to support your well-being.
Tuition reimbursement to assist with continuing education and career growth.
20 days of paid time off to recharge.
Generous 401(k) match to help plan for the future.
Structured training and development during onboarding, including classroom, webinar, and hands-on learning.
Ongoing mentorship from experienced professionals to foster growth in the role.
Paid volunteer hours to support community involvement and social impact.

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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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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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Investment Advisor Representative

Client Focused Financial Saint Petersburg, FL Hybrid

23d ago

$70k+/yr Full time Advisor Assets Under Management CFP

Advisor Assets Under Management CFP

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Job Description

Job Summary

Join Client Focused Financial as an Investment Advisor, playing a key role in guiding clients toward achieving their financial goals through tailored investment strategies. You will apply your expertise in wealth management, financial planning, and financial analysis to deliver exceptional service and build lasting relationships. This role offers a dynamic environment where you help clients navigate complex financial landscapes with clarity and confidence. A proactive approach to client service and a solid understanding of investment management and financial planning will ensure clients receive comprehensive guidance aligned with their individual needs.

Duties

Develop personalized investment plans by evaluating clients’ financial situations, goals, and risk tolerance using advanced financial analysis tools.
Grow your book of business and client base by leveraging leading technology and robust investment analysis.
Cultivate strong client relationships through regular communication, educational sessions, and tailored financial planning advice.

Experience and Qualifications

Series 65, 66 license or CFP designation
3+ years of IAR experience
Current AUM $5M+

Compensation and Employment Type

Job Types: Full-time, Contract
Salary: From $70,000.00 per year

Location

Hybrid remote in Saint Petersburg, FL 33701

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VP, Financial Consultant - Atlanta, GA (Cobb County)

Charles Schwab Atlanta, GA

23d ago

$65k - $80k/yr Full time Atlanta Charles Schwab Cobb County

Atlanta Charles Schwab Cobb County

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Job Description

Overview

Position Type: Regular

Location: Atlanta, GA 30361

Schwab professionals are empowered to make an impact on their careers. This environment blends innovative thinking with practical problem solving to challenge the status quo and advance the finance industry. The branch team sits at the core of Schwab’s commitment to helping clients secure their financial futures. In this role, you will provide financial guidance to clients while building enduring relationships grounded in trust and mutual goals. You will also have the opportunity to steer your professional journey within a supportive, collaborative culture and a broad spectrum of career paths. As a Financial Consultant, you will work with existing Schwab clients to deliver wealth management and financial planning advice, expanding your practice over time through asset consolidation, networking, and client referrals. If you already hold securities licenses, thrive in a team setting, and share a passion for client service, this opportunity aligns with your goals.

Required Qualifications

A valid and active FINRA Series 7 license is required.
You will need to obtain FINRA Series 66 (63/65) license and Life and Health Insurance licensing during your tenure.

Preferred Qualifications

Ability to build strong relationships, foster trust, engage clients, and deepen the client relationship through focused communication, while consistently exceeding expectations.
Willingness to leverage Schwab specialists, Schwab advice guidelines, market knowledge, and the ability to inspire action to help clients progress toward their goals.
Openness to manage wealth on behalf of clients across Retirement Planning, Education Planning, Investment Management, Banking and Lending, Insurance and Risk Management, and Estate Planning.
Ability to adapt and implement change as the market and business conditions evolve.
Commitment to community engagement to discuss market conditions, sound investing principles, and long-term wealth strategies tailored to each client.
Desire to deliver an outstanding investor experience while pursuing ongoing professional development in Wealth Management.

What’s in it for you

At Schwab, you are empowered to shape your future. The firm supports growth through meaningful work, continuous learning, and a culture of trust and collaboration, enabling you to develop skills that create a lasting impact.

401(k) with company match and Employee Stock Purchase Plan
Paid time off for vacation, volunteering, and a 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