What Jobs Require a Series 24 License?

What Jobs Require a Series 24 License?
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👔 Who Needs the Series 24 License?
The Series 24, also known as the General Securities Principal Exam, qualifies individuals to supervise or manage activities involving corporate securities, trading, and investment banking.

If you’re moving up from being a registered rep to a manager or compliance officer, the Series 24 is likely required.

💼 Common Jobs That Require Series 24

1. Branch Manager
   ➤ Oversees day-to-day operations at a brokerage office
   ➤ Manages registered reps, reviews trades, and ensures compliance
2. Compliance Officer
   ➤ Ensures the firm follows all FINRA and SEC regulations
   ➤ Develops internal policies and handles audits
3. Operations Manager (Securities Division)
   ➤ Supervises clearing, settlements, and account activities
   ➤ Manages back-office processes within regulatory guidelines
4. Sales Supervisor
   ➤ Monitors the conduct of sales representatives
   ➤ Reviews recommendations and communications with clients
5. General Securities Principal
   ➤ Provides direct supervision of investment banking and securities business
   ➤ Approves new accounts, ads, and supervisory procedures
6. Trader Supervisor
   ➤ Oversees traders executing equity or fixed-income orders
   ➤ Ensures compliance with trade reporting and risk limits

🔒 What the License Covers
With a Series 24 license, you can supervise:
✔ Corporate securities (stocks, bonds)
✔ Investment company products (mutual funds, ETFs)
✔ Variable contracts
✔ Direct participation programs (DPPs)
✔ Underwriting and trading activities

However, it does not qualify you to supervise options trading (Series 4) or municipal securities (Series 53).

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If you’re ready to move into management in the securities industry, the Series 24 is your next step. Learn everything you need with our comprehensive online courses:
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