Solutions Mission Team Insights SEC Notices Contact Schedule Demo

What interns actually do

  • Coordinate registration of broker-dealer agents and investment adviser representatives
  • Support due diligence on alternative investment platforms
  • Help respond to and document SEC, FINRA, and state regulatory inquiries
  • Work directly alongside the compliance professionals running live client engagements
  • Get exposure to registration, exam readiness, and supervisory-controls work — not just paperwork

Who it's for

  • College students and recent graduates exploring a career in compliance, investment advisory, or broker-dealer operations
  • Candidates preparing for FINRA/NASAA licensing exams (SIE, Series 7, 63, 65, 66)
  • Experienced professionals exploring staffing or placement opportunities across the industry
1
Apply

Tell us about your background, interests, and timing.

2
Conversation

A real conversation with our team about fit and current openings.

3
Placement

Matched to an internship, licensing track, or staffing opportunity.

4
Ongoing mentorship

Support continues well past the internship — our alumni network stays connected.

Recent Intern Report

Summer 2026 Internship Program Report

46 interns, 33 schools, a simulated trading contest, a real client deliverable, and the awards that closed out the summer — see what this year's cohort actually did.

Read the 2026 Report →
Where our alumni are now

A small sample of the people who came through the program — in their own words.

"My internship taught me the practical side of finance in an industry that often gets lost in theory. What I learned proved a strong foundation upon which to build a successful career as CIO of a multi-family office."

Jason Campbell, CFA, CAIA Co-Chief Investment Officer, Heritage Wealth Management · 2013–2014 Internship

"What I learned most from the internship program is that there are no freebies in life and you have to be a go-getter. Be positive and tenacious in life because no one is going to hand you opportunities; you have to make your own."

Roy Lin, CFA VP, Senior Fixed Income Trader, U.S. Bank · 2012 Internship

"The one thing I remember most about the internship is that it pushed me outside my comfort zone. By making cold calls and being challenged to do business networking, it made me a stronger person."

Alexander Baima, PMP Author & Aerospace Professional · 2012 Internship

"The most unforgettable part was the stock pick competition. Winning it validated my analytical skills and ignited a lasting passion for financial analysis that shaped my approach to business strategy to this day."

Jason Zeng FP&A Leader with Global Expertise · 2011 Internship

"Over the summer I coordinated the registration of broker-dealer agents and investment advisors, helped conduct due diligence for an alternative investment platform, and helped respond to and document SEC, FINRA, and individual state inquiries."

Eli Joyner Equity Research Associate, Citi · 2021–2023 Internship

Ready to apply?

Tell us about your background and what you're looking for — a summer internship, a licensing track, or a staffing conversation — and our team will follow up directly.

Office

40 Wall Street, New York, NY 10005

Phone

917-345-2461

Hours

Mon–Fri, 9:00am – 5:00pm ET