- Truist (Richmond, VA)
- …+ Master's degree in finance or business, or equivalent education and related training. + ** FINRA Series 4, 7 , 24, 53, and 66 licenses (Series 9 &10 can ... industry rules, regulations, and operations.** + Familiar with SEC Marketing Rule and FINRA Communication with the Public Rule 2210. + Strong knowledge in field of… more
- Wells Fargo (St. Louis, MO)
- …the financial services/RIA industry + Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 examination (or FINRA recognized ... and implementing a financial services recruiting sales process + FINRA registration including one or more of the following:...Rights, or other long-term incentive awards **Posting End Date:** 7 Feb 2025 **_*Job posting may come down early… more
- Wells Fargo (St. Louis, MO)
- …experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 examination (or FINRA recognized ... + Strong attention to detail and accuracy skills + FINRA registration including Series 66 (or FINRA ...+ FINRA registration including Series 66 (or FINRA recognized equivalents) + FINRA registration including… more
- Jackson National Life Insurance Company (Nashville, TN)
- …industry experience required.** **Prior management or leadership experience preferred.** ** FINRA SIE, FINRA Series 6 or 7 , FINRA Series 63, State ... Annuities are distributed by Jackson National Life Distributors LLC, Member FINRA . Jackson companies offer an outstanding benefits package including competitive pay,… more
- The Walt Disney Company (Anaheim, CA)
- …met. Required Qualifications + Bachelor's Degree + Minimum 3 years relevant Financial Services experience + FINRA Series 7 + FINRA Series 63 (N/A if FINRA ... 65 is met) + FINRA Series 65 or 66 + State Insurance License + Microsoft Office Suite + Adobe Software + Professionalism + Professional Demeanor + Professional, business and personal ethics + Solution-oriented + Flexibility + Independence + Proactive +… 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 ... training, military experience, education + Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63(or 66) examinations (or … more
- Wells Fargo (Cool Springs, NC)
- …completed Securities Industry Essentials (SIE) exam or equivalent **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
- Hantz Group (Saginaw, MI)
- …Spending + Eligibility Requirements Vary *Required Licenses- FINRA Securities Industry Essentials, FINRA Series 7 , FINRA Series 66, State Life, Accident ... organizational skills + Basic database skills + Proficient in Microsoft Office + Series 7 Licensed Preferred + Must be Able to Obtain Required Licenses* Benefits: +… more
- Jackson National Life Insurance Company (Nashville, TN)
- …insurance or investment wholesaling experience 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 (Ann Arbor, 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
- Hantz Group (Ann Arbor, 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
- Wells Fargo (St. Louis, MO)
- …training, military experience, education + Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 examination (or FINRA recognized ... interpersonal communication skills **Job Expectations:** + Successfully completed FINRA SIE and Series 7 exams to...+ Successfully completed FINRA SIE and Series 7 exams to qualify for immediate registration + Ability… more
- Aegon Asset Management (Denver, CO)
- …setting expectations. Qualifications + Bachelor's degree in a business field or equivalent experience + FINRA Series 6 or 7 + FINRA Series 63 + Applicable ... Brand, and Government and Policy Affairs. Transamerica employs nearly 7 ,000 people. It's part of Aegon, an integrated,...companies employ over 2 1,500 people and have approximately 31. 7 million customers . * For more information, visit… more
- Equitable (Charlotte, NC)
- …knowledge of investment securities, alternative investments and/or other financial services products + FINRA Series 7 registration + FINRA Series 66 (Series ... Equitable Total Rewards Program (https://portal.equitable.com/appentry/EDoxRedirect?node\_id=A2023013000001) **Qualifications** **Required Qualifications:** + 7 years of work experience related to the Product… more
- HSBC (New York, NY)
- …or R. Must also hold or be able to obtain within 6 months the following certifications: * FINRA Series 7 ; * FINRA Series 63; * CFA; and * Financial Conduct ... Authority (FCA). **If you would like to apply to this position, please click the 'Apply' button.** _In compliance with applicable laws, HSBC is committed to employing only those who are authorized to work in the US. Applicants must be legally authorized to… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …**Licenses/Certifications** + SIE required provided that an exemption or grandfathering cannot be applied. + FINRA Series 7 required. + FINRA Series 66 or 63 ... Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority ( FINRA ) **Travel** Less than 25% **Workstyle** Hybrid At Raymond James our… more
- Kestra Financial (Hartford, CT)
- …in financial advising . Life, Health and Accident License - State of CT . FINRA Series 7 and FINRA 66 License . Well organized with the ability to manage ... Active Listening, Critical Thinking, Strong Ethics . Clean record with SEC and FINRA Skills + Trustworthy, sincere, charismatic and social disposition, able to start… more
- Wells Fargo (Columbia, SC)
- …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 (New York, NY)
- …2+ years of leadership experience + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 , 9/10 and 63 exams or 7 , 9/10 ... (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration **Desired Qualifications:** + FINRA registration including Series 65… more
- Wells Fargo (Jacksonville, FL)
- …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
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