Director, Securities Registration Office, Banking and Securities pay range
Commonwealth of Pennsylvania · class code 04840
- Class code
- 04840
- Pay scale group
- ST 10
- Pay unit
- Year
- Bargaining unit
- A3
- State
- Pennsylvania
- The Commonwealth of Pennsylvania published pay range for Director, Securities Registration Office, Banking and Securities is $89,996 to $136,842 per year.
- Commonwealth of Pennsylvania Office of Administration keys this classification as class code 04840.
- This is the range the plan authorises, not the salary of any individual employee.
Class specification
The Commonwealth job specification for this class is published by Commonwealth of Pennsylvania Office of Administration. The passages below are quoted from it as published, not paraphrased, and cut to their opening sentences; the full specification is the authority on duties and qualifications. It was last revised 09/28/2023.
What the state says the job is
This is highly responsible professional and managerial work directing the comprehensive statewide securities registration functions for the Department of Banking and Securities. The employee in this job supervises the review and analysis of applications for securities agents, broker-dealer firms, investment advisers, and investment adviser representatives seeking to be registered to conduct securities business in Pennsylvania under Commonwealth securities laws and regulations. The employee exercises authority as delegated by the department to approve, waive, withdraw or terminate registration activities.
Examples of the work
• Plans, coordinates, and manages statewide registration functions for the receipt, review, processing, and recording of applications and registrations of broker-dealer, investment adviser, securities agent, and investment adviser representatives. • Examines and analyzes problematic applications from broker-dealers, investment advisers, securities agents, and investment adviser representatives to determine eligibility for registration under the Pennsylvania Securities Act and related laws and regulations. • Directs the preparation of notifications to applicants or their representatives regarding deficiencies and filing requirements for registration.
Minimum qualifications
• Two years of experience as a Securities Compliance Examiner 2 (Commonwealth title); or • Four years of professional experience in the examination, investigation, or review of eligibility of broker-dealers, investment advisers, securities agents, or investment adviser representatives for state or federal registration, and a bachelor’s degree; or • An equivalent combination of experience and training.
Quoted from the Commonwealth job specification, read 2026-10-21.
Where this comes from
Commonwealth of Pennsylvania Office of Administration publishes this figure in Classification and Pay Plan (online, current annual salary ranges). Every number on this page is read from that document; nothing is estimated, modelled or averaged.
The Commonwealth also links this class code to its own job title and specification. That page is the official description of the classification; this page publishes its pay range.
The listed pay scale is available in the Commonwealth's current ST schedule.