How to land a job at a leading wealth management firm

Looking to discover the best financial advisor jobs available today? You’ve come to the right place. In this section, we highlight a curated selection of top financial advisor jobs at 12 of the largest wealth management firms in the U.S., ranked by AUM. Alongside an overview of current financial advisor career opportunities, we explain the key licenses and certifications that financial professionals may need for various roles in the industry. Use this guide to seek out roles at the top companies listed below, or check out our top wealth management company database to expand your search.

Financial advisor jobs: An overview

Financial advisor jobs involve guiding individuals as they manage their finances, make sound financial decisions, and work toward short- and long-term goals. In these roles, you typically serve a range of clients, often referred to as “retail investors,” helping them achieve their personal financial objectives.

Most financial advisor jobs begin with building and maintaining your own client list. Once you establish these relationships, your role centers around assisting clients with various investment transactions. To be successful in financial advisor jobs, you need strong interpersonal skills for both sales and client service, alongside a commitment to accuracy to ensure transactions are completed without errors.

Obtaining a FINRA Series 7 license greatly expands the scope of financial advisor jobs by letting you execute transactions for nearly all types of securities. With a Series 7 registration, your expertise as a financial advisor will cover:

• Corporate securities (equity and debt) or “stocks”
• Government securities (Treasuries, agency bonds)
• Derivatives (such as rights, warrants, and options)
• Exchange-traded funds (ETFs)
• Real estate investment trusts (REITs)
• Direct participation programs (DPPs)
• Venture capital funds
• Hedge funds
• Mutual funds
• Variable contracts (including annuities and life insurance)
• Unit investment trusts (UITs)
• Municipal fund securities (like 529 plans)

Alternatively, with a Series 6 license, financial advisor jobs enable you to execute transactions in:

• Mutual funds
• Variable contracts (annuities and life insurance)
• Unit investment trusts (UITs)
• Municipal fund securities (such as 529 plans)

The Series 6 credential offers a narrower focus compared to the Series 7, making it ideal for financial advisor jobs at insurance companies or mutual fund firms. Here, licensed professionals sell investment company products and variable annuities. Conversely, holders of a Series 7 license often pursue financial advisor positions in general wealth management. Those with a Series 6 license usually specialize in investment and insurance companies.

Interested in the everyday experience of financial advisor jobs in wealth management? Explore our post on careers in wealth management to get insider insights.

How to get a financial advisor job

Employers that offer financial advisor jobs typically prefer candidates who have earned a bachelor’s degree from a four-year university, although this requirement is not as strict as it once was. While it was once standard to require a major in finance, accounting, economics, or business for most financial advisor positions, these rules have become more flexible. Today, many financial advisor jobs place a greater emphasis on customer service skills and relationship-building abilities, prioritizing strong people skills over extensive prior experience in the finance industry.

Even so, demonstrating a strong understanding of finance can make your application for financial advisor jobs far more competitive. A key way to stand out is by passing the FINRA SIE exam before applying for financial advisor roles, which we describe in more detail in the next section. This credential is valuable for all candidates seeking jobs in wealth management, and it is especially helpful for applicants with academic backgrounds outside of finance.

For more comprehensive guidance, check out our resource on how to land financial advisor jobs and start a career in finance, which explains different approaches for both recent graduates and those without previous experience.

How FINRA licensing works

Starting in 2018, the Financial Industry Regulatory Authority (FINRA) introduced the Securities Industry Essentials (SIE) exam as a foundational licensing test for individuals seeking to enter the securities industry. The SIE exam is now a requirement for most securities-related positions, and many top financial firms either require or strongly recommend passing it to be considered for employment. Preparing for the SIE exam is often the first step toward earning advanced licenses such as the Series 7 license.

The FINRA SIE exam serves as an introductory assessment for aspiring professionals in the financial industry. It covers a broad range of topics relevant to financial markets, products, and regulations. While passing the SIE alone does not qualify you for most industry roles, it builds essential skills and knowledge that are critical for success on more advanced FINRA licensing exams. Earning these credentials is often a core requirement for various financial advisor jobs and other positions within the financial sector.

Here’s a quick overview of the key FINRA licensing exams you’ll need to pass to qualify for different financial advisor and securities industry roles:

• FINRA SIE: This entry-level financial licensing exam is designed to demonstrate your aptitude in financial markets, products, and regulatory frameworks.

All exams below are co-requisites with the FINRA SIE exam:

• Series 6 - Investment Company Representative (IR): Completing this exam qualifies you to work as an investment company and variable contract products representative, including selling mutual funds and variable insurance products. This license is especially relevant for positions at insurance companies with wealth management divisions or mutual fund firms.
• Series 7 - General Securities Representative (GS): Passing the Series 7 exam earns you the Series 7 license, qualifying you to become a general securities representative. The Series 7 license is required for most financial advisor jobs, enabling you to sell a wide range of securities products and work at broker-dealer firms.
• Series 22 - DPP Representative (DR): Passing this exam allows you to become a direct participation programs representative, with the ability to solicit, purchase, and sell limited partnerships.
• Series 57 - Securities Trader (TD): Successfully completing this exam qualifies you as a securities trader, permitting you to execute equity transactions on behalf of clients.
• Series 63 - Uniform Securities Agent: Taken after passing the SIE and either the Series 6 or Series 7 exam, this test covers state-level securities laws. Many states require candidates to hold the Series 63 license to demonstrate their knowledge of state regulations for registered representatives. Although often associated with FINRA, the Series 63 is administered by FINRA on behalf of the North American Securities Administrators Association (NASAA).
• Series 65 - Uniform Investment Adviser: Most candidates take this after passing the SIE and Series 6 or Series 7 exam. Passing grants you qualification as a uniform investment adviser, covering essential topics for financial advisors. The Series 65 is also administered by FINRA for NASAA.
• Series 66 - Uniform Combined - Usually taken following the SIE and either the Series 6 or Series 7 exam, this exam combines the content of both the Series 63 and Series 65 licenses. It enables you to act as both a securities agent and an investment advisor representative (IAR). The Series 66 is another NASAA exam administered by FINRA.
• Series 79 - Investment Banking (IB) - Passing this exam qualifies you as an investment banking representative, allowing you to advise on or facilitate transactions involving debt or equity securities, mergers, acquisitions, and public offerings.
• Series 82 - Private Securities Offerings Representative (PR) - Success on this exam qualifies you to solicit and sell private placement securities as part of a primary offering.
• Series 86 and 87 - Research Analyst (RS) - Passing both exams is required to become a research analyst. The Series 86 covers data collection, analysis, modeling, and valuation; the Series 87 focuses on research report preparation and information dissemination. You must pass the SIE exam along with the Series 86 and Series 87 exams to achieve Research Analyst registration.
• Series 99 - Operations Professional (OS): Passing this exam qualifies you as an operations professional, allowing you to handle customer onboarding, account transfers, receipt and delivery of funds and securities, financial control functions, and disbursement activities.

Earning these licenses can set you apart from other candidates by meeting requirements for both entry-level and advanced positions in finance. The Series 7 exam, in particular, opens doors to numerous financial advisor jobs and is often seen as the gold standard for securities industry professionals.

Interested in learning more about different finance careers? Check out our post on careers in finance.

Ready to explore specific types of financial advisor jobs that require licenses like the Series 7 license? Read on below:

Financial advisor job listings at major financial firms

Charles Schwab jobs

Most Charles Schwab careers available online in the broader securities industry require successful completion of FINRA exams as part of their qualifications.

Financial Services Representative: Charles Schwab Careers

Link: View this position on Schwabjobs.com

Location: Multiple, U.S.

Pay: Depends on location, but base salaries range between $50,000 and $60,000. An additional 10% bonus opportunity based on individual and company results is added to the base salary.

Although this Financial Services Representative job at Charles Schwab does not require the FINRA SIE upon hiring, the SIE is incorporated into your training program. Possessing the FINRA SIE prior to applying for Charles Schwab careers gives applicants a strong advantage and provides a fast track during onboarding and training.

Licensed Financial Services Representative: Charles Schwab Careers

Link: View this position on Schwabjobs.com

Location: Multiple, U.S.

Pay: Depends on location, but base salaries range between $55,000 and $65,000. Licensed Financial Services Representatives are also eligible for a 10% bonus.

By exploring these careers in financial services, you can join a leading firm in the securities sector and leverage your FINRA credentials to advance your professional journey.

J. P. Morgan jobs

Most online J.P. Morgan jobs, similar to opportunities at Charles Schwab, Vanguard, and BNP, require passing key FINRA licensing exams.

Associate Banker

Link: Apply to J.P. Morgan Associate Banker

Location: Multiple, U.S.

Pay: Depends on location, but usually ranges between $22 and $32 per hour. Part-time and full-time opportunities available.

This role is popular among those considering careers with major institutions because it does not require the SIE before hiring. However, completing the FINRA SIE as part of your J.P. Morgan training provides a distinct advantage and positions you for success in future financial advisor roles.

Wealth Management: Private Client Advisor

Link: J.P. Morgan Wealth Management

Location: Multiple, U.S.

Pay: Ranges from $52,000 to $65,000 per year, depending on location.

This career path is ideal for candidates seeking long-term growth in financial services. The Private Client Advisor role at J.P. Morgan requires FINRA SIE, Series 7, and Series 66 licenses. You are required to secure Series 7 sponsorship from a financial firm; get more information about Series 7 sponsorship requirements.

If you are drawn to J.P. Morgan jobs, holding the necessary FINRA qualifications will give you a strong foundation for advancement across the competitive securities landscape.

Morgan Stanley jobs

Most positions online that you can apply for at Morgan Stanley in the securities industry require successful completion of FINRA exams, including the essential Series 7 license for many roles. If you are considering a career at Morgan Stanley, understanding their licensing requirements is crucial.

Internal Sales Consultant

Link: Morgan Stanley Careers: Internal Sales

Location: Multiple, U.S.

Pay: Undisclosed

While Internal Sales positions do not require the FINRA SIE or Series 7 license prior to joining, having the SIE exam completed can give candidates a distinct advantage when applying.

Branch Manager, Non-Producing

Link: Morgan Stanley Careers: Branch Manager

Location: Multiple, U.S.

Pay: Undisclosed

For the Branch Manager, Non-Producing role, candidates must hold several FINRA licenses, including the FINRA SIE, Series 7 license, Series 8, and Series 66 license (alternatively, Series 63 and Series 65). This rigorous licensing demonstrates why Morgan Stanley is a leader in the industry.

UBS Global Management jobs

Most positions online that you can apply for at UBS Global Management in the broader securities sector require passing FINRA exams, with the Series 7 license being one of the most common requirements.

Client Service Associate

Link: UBS Careers

Location: Multiple, U.S. and global

Pay: Undisclosed

Client Associate positions at UBS do not list licensing requirements, but passing at least the SIE can help make you a more competitive candidate when applying.

Financial Advisor Team Manager, UBS Wealth Advice Center

Link: UBS Careers

Location: Multiple, U.S.

Pay: $120,000 - $160,000, depending on location and experience.

The Financial Advisor Team Manager is a senior-level role that requires the SIE, Series 7, 66, 9, and 10. This upper-level position is suited for those with demonstrated experience in the financial sector.

Edward Jones jobs

Most Edward Jobs jobs available online in the securities sector require candidates to successfully pass FINRA exams.

Financial Advisor

Link: Edward Jones Financial Advisor Careers

Location: Multiple, U.S.

Pay: Undisclosed

This Edward Jones job opportunity does not require the SIE exam before you start, but completing the exam offers a major advantage to your application and accelerates your training once hired.

Associate Financial Advisor

Link: Associate Financial Advisor Careers at Edward Jones

Location: Multiple, U.S.

Pay: Undisclosed

The Associate Financial Advisor position requires candidates to hold the FINRA SIE, Series 7, and Series 66 licenses. You’re expected to complete the Series 7 license examination with Edward Jones (or another sponsoring firm). Edward Jones supports professional development through continuing education and other training opportunities.

Bank of America jobs

Most positions online that you can apply for at Bank of America in the broader securities sector require FINRA licensing.

Wealth Management Client Associate

Link: Bank of America Careers

Location: Multiple, U.S.

Pay: Undisclosed

This job doesn’t require the SIE, but it’s a part of your training program. Having the FINRA SIE can give you a big advantage when applying and a head start on your training when you join.

Registered Wealth Management Client Associate

Link: Bank of America Careers

Location: Multiple, U.S.

Pay: Undisclosed

This job requires the FINRA SIE, Series 7, and Series 66 licenses. You can replace the Series 7 and Series 66 licenses with the Series 63 and Series 65 licenses.

Goldman Sachs jobs

Many Goldman Sachs jobs available online in the broader securities sector require successful completion of FINRA exams.

Various analyst roles

Link: Goldman Sachs Careers

Location: Multiple, U.S. and global

Pay: Undisclosed

The SIE exam is not typically listed as a prerequisite, but this certification and the Series 86 and 87 licenses showcase the research and analytical skills needed for technical analyst roles. Series 7, 66, and other certifications are required for asset and wealth management roles.

Citi jobs

Most positions online that you can apply for at Citibank require passing FINRA exams, especially for higher-level roles.

Wealth Management Full-Time Analyst

Link: Citi Careers

Location: Multiple, U.S. and global

Pay: $100,000 - $135,000

While this role does not require the FINRA SIE before you apply, earning your FINRA SIE can provide a significant advantage. It also helps you accelerate your training once you join the team.

Private Banker

Link: Citi Careers

Location: Multiple, U.S.

Pay: $150,000 - $500,000

Private Bankers use analytical tools to advise clients on investment and financial decisions. This position often requires the FINRA SIE, Series 7, and Series 66 licenses, especially for supervisory or director roles.

BNP Paribas jobs

Most BNP Paribas jobs available online in the broader securities sector require candidates to pass relevant FINRA exams as part of the hiring process.

Administrative Assistant/Office Manager

Link: BNP Paribas Careers

Location: Multiple, global

Pay: Undisclosed

Passing the SIE is not a strict requirement for administrative roles, but it proves to employers that you are serious about advancing your qualifications and bringing foundational finance knowledge to your role.

Various Analyst Roles

Link: BNP Paribas Careers

Location: Multiple, U.S.

Pay: $85,000 - $130,000

Leveraged Finance Origination and other specialized roles will require FINRA licensing, including the Series 79 and 63.

Applying for BNP Paribas jobs in the securities sector means understanding specific FINRA exam requirements, which vary by role but are a critical step in the hiring process.

Vanguard jobs

Vanguard jobs available online at The Vanguard Group generally require applicants to pass relevant FINRA exams to be considered.

Administrative Assistant/Office Manager

Link: View Vanguard job postings

Location: Multiple, U.S.

Pay: Undisclosed

While many administrative roles do not require the SIE, passing it before entering the hiring process can give you a competitive edge and prepare you for more advanced roles later on.

Financial Advisor Associate

Link: Vanguard Career Opportunities

Location: Multiple, U.S.

Pay: Undisclosed

For Financial Advisor Associate roles, expect to need your FINRA SIE, Series 7, and Series 63 in order to apply. These essential FINRA credentials can be completed within 14 days before your employment start date.

If you’re looking to advance your financial career, exploring Vanguard jobs is an excellent opportunity to enter the securities industry while working toward additional FINRA qualifications.

Final thoughts

Whether you’re new to finance or seeking a new role after a few years in the field, wealth management offers a plethora of lucrative opportunities. The top firms and available jobs listed above serve as a starting point for your career search. Advantages offered by leading firms, such as in-depth training programs, demonstrate why major institutions remain sought-after in wealth management and banking.

If you’re early in your career and seeking to apply to a large firm, look for entry-level client services or administrative roles that fit your interests and qualifications. Passing the SIE prior to applying to jobs, even if it’s not required, can be your ticket to breaking into this competitive field. For more advanced roles, make sure you have your Series 7, Series 63, and all other relevant certifications completed.

Be sure to check the career pages of top finance firms for the most updated listings and open positions in your area. Always research each firm’s specific requirements for different positions before applying, and find out what sponsorship and training opportunities are available. With your FINRA licenses in tow, you can confidently apply to a range of roles and set your sights high on the wealth management ladder.