- TD Bank (Greenville, SC)
- …or ability to obtain within the scheduled time frame) * Securities Industry Essentials (SIE) * FINRA Series 7 Required * FINRA Series 24 Required (or Series ... Business:** TD Wealth **Job Description:** The Principal Review Analyst II is a FINRA and SEC regulatory supervisory principal position with the Central Office of… more
- Wells Fargo (Salt Lake City, UT)
- …affecting the market. This position requires securities licensing, specifically Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 or 7 and 66 ... military experience, education + Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 or 7 and 66 examinations (or… more
- Wells Fargo (Portsmouth, NH)
- …the following: work experience, training, military experience, education **Desired Qualifications:** + FINRA registration including Series 7 and 66 (or FINRA ... ( FINRA ) license(s) is required for ongoing employment in this position. FINRA Series 7 and 66 (or 63 and 65) examinations, or equivalent must be completed… more
- Wells Fargo (Charlotte, NC)
- …broker-dealers, swap dealers, municipal securities dealers or futures commission merchants + FINRA registration including Series 7 or 99 (or FINRA ... training, military experience, education **Desired Qualifications:** + Strong knowledge of FINRA , SEC, CFTC, MSRB regulations impacting the operational processes of… more
- Hantz Group (Bay City, MI)
- …Spending + Eligibility Requirements Vary *Required Licenses- FINRA Securities Industry Essentials, FINRA Series 7 , FINRA Series 66, State Life, Accident ... & Health, Variable Contracts, State Property & Casualty | HFSI will sponsor and pay for all required licensing on a loan basis. The Company does not discriminate in employment opportunities or practices on the basis of race, color, religion, sex, national… more
- Jackson National Life Insurance Company (Nashville, TN)
- …or investment external wholesaling experience is preferred.** **Securities Industry Essentials (SIE) required.** ** FINRA Series 6 or 7 , FINRA Series 63, ... Annuities are distributed by Jackson National Life Distributors LLC, Member FINRA . Jackson companies offer an outstanding benefits package including competitive pay,… more
- Hantz Group (Chippewa County, MI)
- …Spending + Eligibility Requirements Vary *Required Licenses- FINRA Securities Industry Essentials, FINRA Series 7 , FINRA Series 66, State Life, Accident ... & Health, Variable Contracts, State Property & Casualty | HFSI will sponsor and pay for all required licensing on a loan basis. The Company does not discriminate in employment opportunities or practices on the basis of race, color, religion, sex, national… more
- Aegon Asset Management (MI)
- …organization. Qualifications + Bachelor's degree in a related field or equivalent business experience. + FINRA Series 6 or 7 . + FINRA Series 63 or obtain ... companies employ over 2 1,500 people and have approximately 31. 7 million customers . * For more information, visit...position is typically eligible for an Annual Bonus of 7 .5% based on the Company Bonus Plan/Individual Performance and… more
- Charles Schwab (San Francisco, CA)
- …bonus or incentive opportunities. **What you have** **Required Qualifications** + Active and valid FINRA Series 7 + FINRA Series 66 licenses required, may ... process, portfolio holdings and the rationale behind portfolio construction. + 7 -10 years of experience in financial services, retail investment management, wealth… more
- Huntington National Bank (Columbus, OH)
- …with a basic understanding of SEC and FINRA regulations. Branch examination is a plus. + FINRA Series 7 is required. + FINRA Series 24 or the ability to ... obtain the license within 120 days of hire. Preferred Qualifications: + Knowledge of concepts, products, practices, and compliance functions for the financial services industry preferred. + Series 63, 65 or 66, 53, 4; Life and Disability licensing is… more
- Wells Fargo (Indianapolis, IN)
- …training, military experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 or 7 and 66 ... (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration **Desired Qualifications:** + 1+ years of leadership experience +… more
- Wells Fargo (Chicago, IL)
- …of management experience + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 , 9, 10, and 63 examinations (or FINRA ... **Job Expectations:** + US only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this...license(s) is required for ongoing employment in this position. FINRA Series 66 (or 63 and 65) examinations or… more
- Wells Fargo (Naperville, IL)
- …military experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 examinations (or FINRA ... for immediate FINRA registration **Desired Qualifications:** + FINRA registration including Series 9/10 (or FINRA ...+ FINRA registration including Series 9/10 (or FINRA recognized equivalents) + FINRA registration including… more
- Wells Fargo (Alpharetta, GA)
- …military experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 examinations (or FINRA ... for immediate FINRA registration **Desired Qualifications:** + FINRA registration including Series 9/10 (or FINRA ...+ FINRA registration including Series 9/10 (or FINRA recognized equivalents) + FINRA registration including… more
- Wells Fargo (Minneapolis, MN)
- …to seek feedback in completed communication projects to identify opportunities for improvements. + FINRA registration including Series 7 and 66 (or FINRA ... for Visa sponsorship + This position is subject to FINRA Background Screening Requirements, including successful completion and clearing...240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that… more
- Atria Wealth Solutions (Pasco, WA)
- …school diploma or equivalent required. Bachelor's degree in related field is preferred. + Certifications: FINRA Series 7 , 63 required. FINRA Series 65 or 66 ... Spokane Teachers Credit Union and registered through CFS (Member FINRA / SIPC (http://www.sipc.org/) ). To learn more about...CUSO Financial Services, LP visit www.cusonet.com . CFS (Member FINRA /SIPC) is a broker-dealer and RIA with a stable,… more
- Atria Wealth Solutions (Williston, VT)
- …environment + Excellent organizational and communication skills + College Degree preferred + Series 7 and 63 FINRA licenses a plus + Vermont Life and Health ... + Strong computer and organization skills + Maintain a FINRA compliant filing system with all records + Schedule...Insurance Licenses a plus CFS (Member FINRA /SIPC) is a broker-dealer and RIA with a stable,… more
- Wells Fargo (Coral Gables, FL)
- …military experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 66 (or 63 and 65) examinations (or ... FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration **Desired qualifications:** + Brokerage client support experience +… more
- Wells Fargo (Bellevue, WA)
- …military experience, education + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 examinations (or FINRA ... environment **Job Expectations:** + US only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position.… more
- Wells Fargo (Davenport, IA)
- …military experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 examinations (or FINRA ... complex environment **Job Expectations:** + US Only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position +… more