H-1B Visa Equity Trader Jobs
Equity Trader roles qualify as H-1B visa specialty occupations under the Securities, Commodities, and Financial Services sales agents category. Most sponsoring employers are broker-dealers, proprietary trading firms, and asset managers required to file a Labor Condition Application certifying prevailing wage compliance before your petition reaches USCIS.
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Get Access To All JobsWhere Ambition Meets Innovation
Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you’ll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals.
Job Overview
As a Sr. Equity Trader you will be engaging with both Financial Advisors, assistants and their end clients. Traders will also make outbound calls to Advisors regarding trades, corrections, and even education. Additionally, the successful candidate will develop relationships with 3rd party market centers and executions platforms as well as other internal departments within LPL including Product, Compliance, Purchase & Sales, Licensing & Registration, Business Development and others all with the goal of providing first-class equity and options trading support. You will be supporting other equity traders as well. We expect Sr. Traders to become subject matter experts and have the ability to understand multiple products and the risks, fees, and differences between them all. Traders must also understand and be able to explain the regulatory requirements and LPL Financial policies that govern the products we support and ensure compliance with product guidelines, LPL Financial policies and regulatory requirements. Being flexible and adaptable to competing priorities will be one of the key success factors for this position.
Responsibilities:
- Provide guidance and assistance in all aspects of equity and option trading resulting in the best possible execution
- Assist in resolving trade and settlement issues by working with the market centers, exchanges, and back office as needed. You will also liaison with third-party money managers, Registered Investment Advisors and Institutional Traders to provide exceptional equity and option trading support
- Will be responsible for reviewing and approving large trades for the trading team. You will be accountable for your trade execution quality and are expected to review your blotter after the close daily
- Providing support, guidance, and training for junior equity traders
- Able to handle and resolve escalated calls and issues
- Think outside of the box and leverage all means possible to find ways to create efficiencies on the desk
What are we looking for?
We’re looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.
Requirements
- FINRA Series 7 & 63 or 65 licenses required.
- FINRA Series 55 or 57 license required or obtained within 90 days of start
- Deep knowledge of equity and option markets
- Thorough knowledge of marketplace rules and regulations
- Demonstrated high degree of accuracy and attention to detail
Preferences:
- 4+ years of trading desk experience
- 3 to 5 years working with and/or supporting financial professionals
- Series 4 & 24 licenses
- Knowledge and experience with Review & Release
- Experience trading in BETA
- Experience with OMS or EMS (TRAfix preferred)
- Experience with Bloomberg
- Knowledge and experience with RFQ platforms
- Must be able to work productively in both a small and large group setting
- Excellent customer service skills with the ability to listen and communicate in a clear and concise
- Experience with algorithmic trading
- Bachelor’s degree
Pay Range:
$86,726.00 - $144,612.00
Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!
Company Overview:
LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace, LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses.
At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.
Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.
Information on Interviews:
LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card. Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at (855) 575-6947.
Where Ambition Meets Innovation
Build a career that matches all your initiative with an impressive dose of innovation. From cutting-edge resources and a collaborative environment to the freedom to make an impact and more, you’ll find the ingredients you need at LPL Financial to shape your success while helping clients pursue their financial goals.
Job Overview
As a Sr. Equity Trader you will be engaging with both Financial Advisors, assistants and their end clients. Traders will also make outbound calls to Advisors regarding trades, corrections, and even education. Additionally, the successful candidate will develop relationships with 3rd party market centers and executions platforms as well as other internal departments within LPL including Product, Compliance, Purchase & Sales, Licensing & Registration, Business Development and others all with the goal of providing first-class equity and options trading support. You will be supporting other equity traders as well. We expect Sr. Traders to become subject matter experts and have the ability to understand multiple products and the risks, fees, and differences between them all. Traders must also understand and be able to explain the regulatory requirements and LPL Financial policies that govern the products we support and ensure compliance with product guidelines, LPL Financial policies and regulatory requirements. Being flexible and adaptable to competing priorities will be one of the key success factors for this position.
Responsibilities:
- Provide guidance and assistance in all aspects of equity and option trading resulting in the best possible execution
- Assist in resolving trade and settlement issues by working with the market centers, exchanges, and back office as needed. You will also liaison with third-party money managers, Registered Investment Advisors and Institutional Traders to provide exceptional equity and option trading support
- Will be responsible for reviewing and approving large trades for the trading team. You will be accountable for your trade execution quality and are expected to review your blotter after the close daily
- Providing support, guidance, and training for junior equity traders
- Able to handle and resolve escalated calls and issues
- Think outside of the box and leverage all means possible to find ways to create efficiencies on the desk
What are we looking for?
We’re looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.
Requirements
- FINRA Series 7 & 63 or 65 licenses required.
- FINRA Series 55 or 57 license required or obtained within 90 days of start
- Deep knowledge of equity and option markets
- Thorough knowledge of marketplace rules and regulations
- Demonstrated high degree of accuracy and attention to detail
Preferences:
- 4+ years of trading desk experience
- 3 to 5 years working with and/or supporting financial professionals
- Series 4 & 24 licenses
- Knowledge and experience with Review & Release
- Experience trading in BETA
- Experience with OMS or EMS (TRAfix preferred)
- Experience with Bloomberg
- Knowledge and experience with RFQ platforms
- Must be able to work productively in both a small and large group setting
- Excellent customer service skills with the ability to listen and communicate in a clear and concise
- Experience with algorithmic trading
- Bachelor’s degree
Pay Range:
$86,726.00 - $144,612.00
Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play – such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!
Company Overview:
LPL Financial Holdings Inc. (Nasdaq: LPLA) is among the fastest growing wealth management firms in the U.S. As a leader in the financial advisor-mediated marketplace, LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans. The firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses.
At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.
Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.
Information on Interviews:
LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card. Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at (855) 575-6947.
See all H-1B Visa Equity Trader Jobs
Sign up for free to unlock all listings, filter by visa type, and get alerts for new H-1B Visa Equity Trader Jobs.
Get Access To All JobsTips for Finding H-1B Visa Sponsorship in Equity Trader
Verify your degree supports specialty occupation
USCIS scrutinizes Equity Trader petitions because the role can be filled without a degree at some firms. A finance, economics, or mathematics degree strengthens your specialty occupation argument; an unrelated field requires a detailed credential evaluation tying coursework to trading functions.
Target broker-dealers with active LCA histories
Use Migrate Mate to filter employers by verified H-1B Labor Condition Application filings in securities and commodities roles. Firms with consistent LCA activity for traders have established sponsorship workflows and are less likely to withdraw an offer mid-process.
Confirm the role is salaried before the offer stage
H-1B requires a fixed or base salary meeting DOL prevailing wage. Purely commission-based Equity Trader roles don't satisfy the wage requirement. Clarify compensation structure before accepting an offer to avoid a petition denial on wage grounds.
Cross-check your offered wage against OFLC Wage Search
Look up the prevailing wage for your SOC code and work location using the OFLC Wage Search before negotiations close. If your offer falls below Level I, your employer must either increase it or defend a higher level classification in the LCA filing.
Understand the cap-subject lottery timing for trading roles
Most proprietary trading firms and broker-dealers are cap-subject employers, meaning your petition enters the annual H-1B lottery. Registrations open in March for an October 1 start date, so your employer must commit to sponsorship months before you can begin working.
Obtain FINRA licenses before your petition is filed
Holding a Series 57 or Series 7 license before your employer files Form I-129 demonstrates professional qualification and strengthens the specialty occupation case. USCIS treats industry-recognized licenses as evidence that the role requires specialized knowledge beyond general business skills.
H-1B Visa Equity Trader: Frequently Asked Questions
Does an Equity Trader role qualify as a specialty occupation for H-1B purposes?
Yes, but the determination depends on how the employer defines the role. USCIS requires that the position normally requires at least a bachelor's degree in a specific field such as finance, economics, or mathematics. Roles framed around discretionary judgment without degree requirements can face Requests for Evidence, so the job description and employer's hiring history both matter significantly.
Which types of employers sponsor H-1B visas for Equity Trader positions?
Registered broker-dealers, institutional asset managers, hedge funds, and proprietary trading firms are the most common sponsors. Banks with equity desks also sponsor regularly. Use Migrate Mate to browse verified H-1B employers in securities and trading roles, filtered by active LCA filing history, so you're applying to firms with a demonstrated sponsorship track record rather than guessing.
How does prevailing wage work for an Equity Trader on H-1B?
Your employer must certify in the Labor Condition Application that your compensation meets or exceeds the DOL prevailing wage for your job classification and work location. The wage level assigned, from Level I through Level IV, reflects experience and complexity. You can look up applicable wages by SOC code and metro area using the OFLC Wage Search before accepting an offer.
Can I switch Equity Trader jobs while on H-1B?
Yes, through H-1B portability under AC21. Once your current petition has been approved and you've worked for the sponsoring employer for at least 180 days, you can start with a new employer as soon as they file a new H-1B petition on your behalf. You don't need to wait for approval to begin work, as long as the new role is in the same or a related occupational classification.
Do FINRA licenses affect my H-1B petition as a trader?
FINRA licenses such as the Series 57 or Series 7 strengthen your H-1B specialty occupation case by demonstrating that the role requires industry-specific, regulated knowledge. USCIS can cite the existence of mandatory licensing requirements as evidence that the position isn't open to applicants with any general degree, which helps counter a potential specialty occupation challenge.