- ADP (Dallas, TX)
- …to successfully obtain and maintain their series 6 and 63 FINRA securities licenses._** **Job Responsibilities:** + Educates employees on account information, ... with other business units as needed. **Job Qualifications:** + FINRA Series 6 and 63 securities licenses and Securities...degree preferred, or equivalent of experience and education + FINRA Series 6 and 63 securities licenses and Securities… more
- Truist (Winston Salem, NC)
- …+ 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 be used ... industry rules, regulations, and operations. + Familiar with SEC Marketing Rule and FINRA Communication with the Public Rule 2210. + Strong knowledge in field of… more
- Truist (Raleigh, NC)
- …Office software products. + Ability to travel, occasionally overnight. **Preferred Qualifications:** + ** FINRA Series 7, 24, 53, and 66 licenses (Series 9&10 can be ... used in lieu of 53, Series 63 & 65 can be used in lieu of Series 66).** + **Life/Health and Variable Insurance Licensing** + 5 or more years related retail brokerage and/or investment advisory experience with an emphasis in Supervision/Compliance. + Must have… more
- Wells Fargo (Minneapolis, MN)
- …the activities of representatives (eg, financial advisors) to ensure their compliance with FINRA and SEC rules and regulations, as well as federal and state laws ... + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7, 9/10, and 66 examinations (or ...FINRA ) Series 7, 9/10, and 66 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate … more
- Wells Fargo (Greenville, SC)
- …or leadership experience + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7, 9, 10, and 63 examinations (or FINRA ... if necessary + 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 9 and 10 examinations, or equivalent must… more
- Wells Fargo (Newark, DE)
- …training, military experience, education + Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 or 7 and 66 examinations (or ... FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration **Desired Qualifications:** + 1+ years of leadership experience +… more
- Wells Fargo (San Diego County, CA)
- …of leadership experience + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7, 9, 10, and 63 examinations (or FINRA ... additional screening, if necessary + US only: Obtaining and/or maintainingappropriate FINRA license(s) is required for ongoing employment in this position. … more
- Wells Fargo (Woodland Hills, CA)
- …and partners **Desired Qualifications:** + Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 6 and Series 63 examinations (or FINRA ... sales practices risk management culture + Current registration for FINRA Series 6 and Series 63 (or FINRA... FINRA Series 6 and Series 63 (or FINRA recognized equivalents) is required for this role or… more
- Wells Fargo (Charlotte, NC)
- …the market. This position requires securities licensing, specifically Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 or 7 and 66 (or FINRA ... training, military experience, education + Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63(or 66) examinations (or FINRA … more
- Vanguard (Scottsdale, AZ)
- …obtained no later than 14 days prior to your start date. + This job requires FINRA Series 7 and 66 (or ability to obtain within 90 days of joining) regulatory ... licenses and/or registration (eg FINRA , state, SFC). These will be determined by Compliance...training, coaching, and continuous support needed to obtain the FINRA Series 7 & 66 (if not held prior… more
- Wells Fargo (Anchorage, AK)
- …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:** + Full-service brokerage experience + Financial… more
- Wells Fargo (New Haven, CT)
- …experience, education + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7, 9/10, and 66 examinations (or FINRA recognized ... governance **Job Expectations:** + US only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position. Compliance… more
- Wells Fargo (Hendersonville, TN)
- …banking + Experience recommending financial services products and services + Successfully completed FINRA Series 6 and 63 exams (or recognized FINRA equivalents) ... sales practices risk management culture + Current registration for FINRA Series 6 and Series 63 (or FINRA... FINRA Series 6 and Series 63 (or FINRA recognized equivalents) is required for this role or… more
- Wells Fargo (Naples, FL)
- …experience, education + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7, 9/10, and 66 examinations (or FINRA recognized ... governance **Job Expectations:** + US only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position. Compliance… more
- Wells Fargo (Red Bank, NJ)
- …experience, education + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 examinations (or FINRA recognized ... **Job Expectations:** + US Only: Obtain and/or maintain appropriate FINRA license(s) is required for ongoing employment in this...criminal background standards + Wells Fargo will initiate the FINRA licensing review process at the time of offer… more
- Wells Fargo (Beverly, MA)
- …experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 examinations (or FINRA recognized ... **Job Expectations:** + US Only: Obtain and/or maintain appropriate FINRA license(s) is required for ongoing employment in this...criminal background standards + Wells Fargo will initiate the FINRA licensing review process at the time of offer… more
- Citigroup (Jacksonville, FL)
- …Private Client Wealth Supervision manages a team of over 50 FINRA -licensed colleagues responsible for the supervisory oversight of investments sales activity ... regulations as outlined by the SEC, FRB, OCC, NYSE, FINRA and state regulatory rules and regulations, as well...(non-US securities regulatory regimes), Servicemembers Civil Relief Act (SCRA), FINRA 2090 (Know Your Customer), FINRA 2111… more
- Wells Fargo (St. Louis, MO)
- …experience, education + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7, 9/10, and 66 examinations (or FINRA recognized ... skills **Job Expectations:** + US only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position. Compliance… more
- Wells Fargo (Carmel, CA)
- …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 (Mclean, VA)
- …training, military experience, education + 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:** + Client service focus with the ability to… more
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