Job Description: Licensed Brokerage Representative

Date: May 2026

Department: Operations

Reports To: Director of Operations

Position: Non-Exempt

Manages Others: No

Summary of Responsibilities:

This individual will provide the highest level of client satisfaction and customer service to the firm’s self-directed trading clients and Registered Investment Advisors, in a high-paced brokerage environment, while adhering to industry rules and regulations. The requirements listed are representative of the knowledge, skills, and/or abilities required in this position to perform this job successfully. The individual must have previous brokerage operational experience and worked directly with clients and a clearing firm. Responsibilities will include but not limited to the following:

Key Job Duties and Responsibilities:

• Respond to inbound client correspondence such as emails, calls, and other forms of communications in a timely, efficient and polite manner
• Manage customer subscription requests and update CRM database
• Assist in the review of new account applications and customer verification
• Act as liaison between the Registered Investment Advisor, the client and the clearing firm
• Review and process account transfers, checks, wire transfers and ACH requests etc.
• Maintain customer databases and update customer pricing agreements
• Work directly with the clearing firm to resolve issues
• Review daily reports
• Provide coverage and assistance in other departments and lines of business where needed
• Perform various brokerage functions and administrative duties as necessary
• Work effectively with all departments and function in a team environment

Essential Qualifications and Registrations:

• Must have strong computer skills (Excel and Word required)
• Minimum SIE exam passed
• Series 7 license preferred
• Options and Margins experience preferred
• Bachelor’s degree preferred
• Minimum of 2 years industry experience preferred
• Discount Brokerage experience highly preferred

Salary and Benefits:

• Salary commensurate with experience
• Health, Dental and Vision
• Vacation/paid time off

Job Type: Full-time

Pay: $52,000.00 - $65,000.00 per year

Benefits:

• Dental insurance
• Health insurance
• Paid time off
• Vision insurance

Work Location: In person