Securities Broker

Remote
26 days ago

Description

We are seeking a motivated and client‑focused Part-Time Securities Broker to join our team. In this role, you will work directly with clients to execute securities transactions.

This position is ideal for someone who thrives in a relationship‑driven environment and is committed to maintaining the highest ethical standards. 

We offer a competitive compensation structure. This role is a 1099 contractor role and does not offer insurance, bonuses, or other benefits.

Requirements

Required
  • Active FINRA Series 7 license
  • Series 63 or Series 66 license (or ability to obtain promptly)
  • Strong understanding of investment products, markets, and securities
  • Excellent communication, interpersonal, and presentation skills
  • High ethical standards and commitment to regulatory compliance
Preferred
  • Bachelor’s degree in finance, business, economics, or related field
  • Prior experience in a broker‑dealer or financial advisory environment
  • Existing client relationships or a transferable book of business
  • Proficiency with CRM systems and financial planning tools

Bonuses

This role is a 1099 contractor role and does not offer insurance, bonuses, or other benefits.

Benefits

This role is a 1099 contractor role and does not offer insurance, bonuses, or other benefits.

Responsibilities

Key Responsibilities:

Client Relationship Management
  • Build and maintain strong, long‑term relationships with individual and institutional clients
  • Conduct discovery conversations to understand client goals, risk tolerance, and financial needs
  • Provide ongoing communication, portfolio reviews, and service support
Investment Sales, Investor Relationships, and Securities ​Expertise
  • Execute buy/sell orders in accordance with client instructions and regulatory requirements
  • Work with clients and investors on purchasing securities
  • Assist attorneys conduct due diligence and with necessary filings
Compliance & Regulatory Duties
  • Maintain active FINRA registrations (e.g., Series 7, Series 63/66)
  • Adhere to all broker‑dealer policies, supervisory procedures, and industry regulations
  • Complete required continuing education and compliance training
  • Maintain accurate and timely documentation of client interactions and transactions
Business Development
  • Identify new business opportunities through referrals, networking, and community engagement
  • Participate in marketing initiatives, seminars, and outreach events
  • Develop and manage a personal book of business with support from the firm
Apply Now