- Truist (Atlanta, GA)
- …with the Compliance Risk Management Policy and Framework. **Ideal candidate will already have: FINRA Registrations 7 , 24 and 66 or equivalent, and applicable ... (ABA) Compliance School or CRCM certification 5. Knowledge of Capital Markets 6. FINRA Registrations 7 , 24 and 66 or equivalent 7 . Applicable Life,… more
- Thrivent Financial (Cranford, NJ)
- …Position Qualifications + Previous administrative/secretarial experience desired + Must be securities registered (series 7 & 66 or 6 & 63). + Must be insurance ... Christian community and nonprofit organizations. Thrivent Investment Management Inc. is a FINRA and SIPC member and a wholly owned subsidiary of Thrivent Financial.… more
- Thrivent Financial (Las Vegas, NV)
- …Position Qualifications + Previous administrative/secretarial experience desired + Must be securities registered (series 7 & 66 or 6 & 63). + Must be insurance ... This position provides licensed administrative support to David Thiel and Jessica... in NV life, health, and annuities and hold FINRA licensing as described below. This is an in… more
- Thrivent Financial (Gig Harbor, WA)
- …Position Qualifications + Previous administrative/secretarial experience desired + Must be securities registered (series 7 & 66 or 6 & 63). + Must be insurance ... Summary This position provides licensed administrative support to Harbor Financial Group. This...the process. Fingerprints will be required as part of FINRA registration process for submission to the Federal Bureau… more
- Bank of America (Honolulu, HI)
- …+ 4+ years of progressive professional and/or military experience + Ability to obtain Series 7 and 66 licenses within allotted program time + Is a self-starter ... Merrill Financial Solutions Advisor (Partially Licensed ) - Pacific Islands Market Honolulu, Hawaii **Job...for the position: FDIC; Safe Act; Loan Originators; and FINRA ._ **Responsibilities:** + Learns how to provide tailored and… more
- Thrivent Financial (Fresno, CA)
- …career development resources. + Obtain state insurance licenses (life, health & variable contracts) and Series 7 and 66 ; Series 7 , 65 and 63; or Series 6 and ... others, not just selling products. Requirements + Attainment of FINRA SIE within 90 days of hire/transfer ( licensed... FINRA SIE within 90 days of hire/transfer ( licensed role only). + Satisfactory background check, fingerprinting and… more
- Wells Fargo (Tallahassee, FL)
- …complex to complex client needs + May study and test for additional licenses (Series 7 and Series 66 ) once the minimum licensing requirements are met + This ... role you will:** + Employees who are not fully licensed at the time of hire will participate in...recommending financial services products and services + Successfully completed FINRA Series 6 and 63 exams (or recognized … more
- Atria Wealth Solutions (Marion, IN)
- …Medicaid Computer Skills: + Word and Excel + Computer literate Certifications & Licenses: + FINRA Series 7 , 63/65 (or 66 ) securities licenses (or better) + ... a positive impact? Do you enjoy educating others? The Licensed Financial Advisor provides expertise on products and services...+ Ensure the Investment Department is in compliance with FINRA . + Maintain advertising and complaint files as required… more
- Wells Fargo (Chapel Hill, NC)
- …complex to complex client needs + May study and test for additional licenses (Series 7 and Series 66 ) once the minimum licensing requirements are met + This ... a **In this role, you will:** + Participate in the Branch Banking Licensed Banker licensing program. This is a temporary position until employee has successfully… more
- City National Bank (Washington, DC)
- …experience in financial services preferably with high net worth clients. + FINRA Series 7 and 63 and 65 or 66 + California Insurance License **Skills and ... Licensing Act of 2008" (Safe Act) and must be registered/ licensed with the "Nationwide Mortgage Licensing System and Registry";...Certified Wealth Strategist designation. + FINRA Series 7 and 63, and 65 or 66 … more
- T. Rowe Price (Owings Mills, MD)
- …Sales experience + Financial industry experience + Fully licensed candidate (currently holds 7 and 66 ) FINRA Requirements FINRA licenses are required ... and will be supported for this role. This role requires the FINRA Series 7 and 66 licenses which must be obtained within first 6 months of hire if not… more
- T. Rowe Price (Owings Mills, MD)
- …Sales experience + Financial industry experience + Fully licensed candidate (currently holds 7 and 66 ) FINRA Requirements FINRA licenses are required ... and will be supported for this role. This role requires the FINRA Series 7 and 66 licenses which must be obtained within first 6 months of hire if not… more
- Vanguard (Scottsdale, AZ)
- …a regulatory license and/or registration (eg FINRA , NASAA). The SIE, Series 7 , and Series 66 are required to be obtained within department guidelines. ... this position, and you do not have the necessary FINRA licenses for the role, then you must obtain... in any capacity, prior to moving into this licensed role, you will be asked to provide authorization… more
- Atria Wealth Solutions (Pasco, WA)
- …field is preferred. + Certifications: FINRA Series 7 , 63 required. FINRA Series 65 or 66 preferred. State life, accident, health and insurance licenses ... CUSO Financial Services, LP. + Job Experience: Minimum of three years licensed registered representative sales experience required or proven ability in a related… more
- Bank of America (La Quinta, CA)
- …you receive dedicated and personalized classes for your Securities Industry Essentials [SIE], Series 7 and Series 66 Exams. Once you obtain your licenses, you ... history for the position: FDIC; Safe Act; Loan Originators; FINRA . At Bank of America, we are guided by...solutions. * **Earn your Security Industry Essentials (SIE), Series 7 and Series 66 licenses** (63 &… more
- Bank of America (San Diego, CA)
- …you receive dedicated and personalized classes for your Securities Industry Essentials [SIE], Series 7 and Series 66 Exams. Once you obtain your licenses, you ... criminal history for the position:FDIC, Safe Act/Loan Originators and FINRA . At Bank of America, we are guided by...solutions. * **Earn your Security Industry Essentials (SIE), Series 7 and Series 66 licenses** (63 &… more
- Thrivent Financial (CO)
- …+ The ability to pass a background check (criminal and financial) + Successfully complete FINRA Series 7 and 66 (or equivalent) and Life and Health ... donate) Job Qualifications + Currently holds either a Series 7 , and/or Series 66 , or both a...hire/transfer. + Eligibility to be securities registered and insurance licensed in all 50 states + Experience with Salesforce… more
- Thrivent Financial (Albert Lea, MN)
- …accordance with licensure and business needs Position Qualifications + Securities registered (SIE, Series 7 and 66 or 7 /63/65) preferred, OR ability to ... Lutheran community and nonprofit organizations. Thrivent Investment Management Inc. is a FINRA and SIPC member and a wholly owned subsidiary of Thrivent Financial… more