Licensed Investment Registered Representative

Job Overview

Job Title: Investment Registered Representative

Employment Type: Full-Time

Compensation: Base salary plus commission and performance bonuses

Location: In-Office / Hybrid options available

Required Licenses: FINRA Series 7 and Series 66 (or Series 63/65)

Core Responsibilities

• Manage client portfolios: Build, monitor, and rebalance customized investment strategies with current in book clients.
• Provide financial planning: Deliver comprehensive advice on retirement, estate, and education planning.
• Execute trade orders: Buy and sell equities, fixed-income products, and mutual funds.
• Cultivate new business: Prospect network and convert leads into long-term wealth management clients.
• Maintain regulatory compliance: Adhere strictly to FINRA, SEC, and internal firm policies.
• Conduct market research: Analyze economic trends to identify optimal investment opportunities.

Required Qualifications

• Active licensing: Valid FINRA Series 7 and Series 66 (or Series 63 & 65) registrations.
• Industry experience: Minimum 2–5 years of retail investment advisory experience.
• Clean CRD record: No active disclosures or regulatory disciplinary actions.
• Educational background: Associates degree or better.
• Technical proficiency: Mastery of wealth CRM platforms and portfolio accounting software.

Preferred Skills

• Communication expertise: Strong relationship-building, public speaking, and presentation skills.
• Market technicality: Deep knowledge of alternative investments, options, and structured products.