- New York life (Uniondale, NY)
- …products such as mutual funds through our broker-dealer, NYLIFE Securities LLC (member of FINRA and SIPC), a Licensed Insurance Agency. You will be required to hold ... securities licenses and FINRA registrations and affiliate with NYLIFE Securities as a registered representative before you can offer investment products. Phase 2:… more
- ADP (Louisville, KY)
- …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
- Citizens (Boston, MA)
- Description This FINRA /Securities Specialist Investigator III will be tasked with investigating potential federal FINRA Rules and Securities Law violations and, ... Experience with social media, OSINT, payments, investments research + Knowledge of FINRA /SEC investigative best practices + Competence using a desktop computer with… more
- Zions Bancorporation (Denver, CO)
- …quality. + Intermediate computer skills including word processing and spreadsheet software. + FINRA Series 79 (or grandfathered Series 7), Series 63 will be required ... but not limited to, level of experience, skills, expertise, location, education, FINRA licenses, and certifications. Benefits: + Medical & Dental Insurance &… more
- ADP (El Paso, TX)
- …REQUIRED:** + At least 2 years of previous experience + High School diploma + FINRA 6 & 63 **PREFERRED QUALIFICATIONS** : Preference will be given to candidates who ... have the following: + Bachelor's degree or equivalent in education and experience + Strong client relationship and interpersonal skills + Ability to troubleshoot and resolve customer complaints using pre-defined solutions + Demonstrated ability to learn and… more
- Wells Fargo (Syracuse, NY)
- …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 (Greenwood Village, CO)
- …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 (Salt Lake City, UT)
- …years of leadership experience + Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 66 examinations (or FINRA recognized ... client support experience or financial services industry experience + Successfully completed FINRA Series 9/10 (or FINRA recognized equivalents) + Demonstrated… more
- Wells Fargo (Boulder, CO)
- …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 (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 including… more
- Wells Fargo (Milwaukee, WI)
- …of management 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 66 (or 63 and 65) examinations, or… more
- Wells Fargo (Minneapolis, MN)
- …years of leadership experience + Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 66 examinations (or FINRA recognized ... client support experience or financial services industry experience + Successfully completed FINRA Series 9/10 (or FINRA recognized equivalents) + Demonstrated… more
- Wells Fargo (Merrillville, IN)
- …experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 examinations (or FINRA recognized ... 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 (Davidson, NC)
- …of 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 (Seneca, SC)
- …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 (Wauwatosa, WI)
- …completed Securities Industry Essentials (SIE) exam or equivalent **Desired Qualifications:** + FINRA registration including Series 7 and 66 (or FINRA recognized ... + US only: Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority ( FINRA ) license(s) is required for ongoing employment in this position. … more
- Wells Fargo (Charlotte, NC)
- …completed + Successfully completed Securities Industry Essentials (SIE) exam + Successfully completed FINRA Series 7 and 66 (or 63 and 65) exams to qualify for ... immediate registration (or FINRA recognized equivalents) **Job Expectations:** + Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (… more
- Wells Fargo (Salt Lake City, UT)
- …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
- Wells Fargo (Richmond, VA)
- …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 (Eugene, OR)
- …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
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