- Insight Global (Salt Lake City, UT)
- …Series 10 license * 2+ years in financial services (preferably a large institution) * FINRA Series 4 license * Experience working hands on with margins, ... Insight Global's Workforce Privacy Policy: https://insightglobal.com/workforce-privacy-policy/ . Skills and Requirements * FINRA Series 7 license * FINRA … more
- City National Bank (New York, NY)
- …Demonstrated use of effective sales and communication skills * Registered Representative with a FINRA Series 4 and 24 preferred *Compensation* Starting base ... securities market * Minimum 5 years of direct client services experience required * FINRA Series 7 and 63 or 66 licenses *Skills and Knowledge* * 5 years… more
- Truist (Richmond, VA)
- …+ Audit experience. + Strong knowledge in field of assigned business unit(s). + FINRA Series 4 . **General Description of Available Benefits for Eligible ... may be made to enable individuals with disabilities to perform the essential functions. + ** FINRA Series 7, 24, 53, and 66 licenses ( Series 9&10 can be used… more
- Truist (Memphis, TN)
- …4 years professional experience, including 1 year of experience in the securities industry. 3. FINRA Series 7 and 66. 4 . Applicable state health and life ... clients with trades, requests for information, research, account problems, etc. 4 . Provide client relationship management support, including ongoing counsel and… more
- JPMorgan Chase (Tempe, AZ)
- …in a Supervision, Compliance, Surveillance, Operations, or Control capacity. + FINRA Series 7, 66 (63/65), 9/10 (or 4 , 24, 53), and appropriate State ... will play a crucial role in ensuring our trading operations comply with FINRA rules and industry regulations. You will be responsible for reviewing trades,… more
- Wells Fargo (Davidson, NC)
- …appropriate FINRA license(s) is required for ongoing employment in this position. FINRA Series 9 and 10 examinations, or equivalent must be completed within ... outlined in the job expectations below **Required Qualifications:** + 4 + years of Banking and Financial Services experience, or...120 days. FINRA Series 66 (or 63 and 65)… more
- Wells Fargo (Eugene, OR)
- …private banking + Experience recommending financial services products and services + Successfully completed FINRA Series 6 and 63 exams (or recognized FINRA ... outlined in the job expectations below **Required Qualifications:** + 4 + years of customer service experience, or equivalent demonstrated...sales practices risk management culture + Current registration for FINRA Series 6 and Series … more
- Wells Fargo (Salt Lake City, UT)
- …Brokerage client support experience or financial services industry experience + Successfully completed FINRA Series 9/10 (or FINRA recognized equivalents) + ... reports and assist in hiring talent **Required Qualifications:** + 4 + years of Customer Service, Financial Services or Contact...compliance with FINRA standards + Registration for FINRA Series 9/10 must be completed within… more
- Wells Fargo (Milwaukee, WI)
- …appropriate FINRA license(s) is required for ongoing employment in this position. FINRA Series 66 (or 63 and 65) examinations, or equivalent must be ... the following: work experience, training, military experience, education + 4 + years of management experience + US only: Successfully...+ US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7, 9, 10, and 63… more
- US Bank (Overland, MO)
- … registrations to meet defined referral client and wealth management introductions. Position requires the FINRA SIE, Series 6 (or Series 7) and Series ... 2, Client Relationship Consultant 3, and Client Relationship Consultant 4 , Premier Client Relationship Consultant 4 and...or a combination of experience and commensurate training - FINRA Securities Industry Essentials (SIE), Series 6,… more
- Wells Fargo (Las Vegas, NV)
- …appropriate FINRA license(s) is required for ongoing employment in this position. FINRA Series 66 (or 63 and 65) examinations or equivalent must be ... + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7, 9, 10, and 63...for dependent children + Adoption reimbursement **Posting End Date:** 4 Feb 2025 **_Job posting may come down early… more
- Wells Fargo (Charlotte, NC)
- …Successfully completed + Successfully completed Securities Industry Essentials (SIE) exam + Successfully completed FINRA Series 7 and 66 (or 63 and 65) exams to ... license(s) is required for ongoing employment in this position. FINRA Series 7 and 66 (or 63...is not eligible for Visa sponsorship. **Posting End Date:** 4 Feb 2025 **_*Job posting may come down early… 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 (or ... experience, education + Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63(or 66) examinations...six weeks Monday - Friday 8:00 am MT - 4 :30 pm MT + Your regular work schedule will… more
- Wells Fargo (Greenwood Village, CO)
- …experience, education. + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7, 9/10, and 66 examinations (or FINRA ... 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… 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 ... existing Client Associates within designated markets. **Required Qualifications:** + 4 + years of Financial Services Industry experience, or equivalent...(or FINRA recognized equivalents) sufficient to qualify for immediate … more
- Wells Fargo (Rancho Cucamonga, CA)
- …Authority ( FINRA ) license(s) is required for ongoing employment in this position. FINRA Series 6 and 63 examinations, or equivalent must be completed within ... outlined in the job expectations below **Required Qualifications:** + 4 + years of customer service experience, or equivalent demonstrated...communicated at time of offer acceptance. For certain states, FINRA Series 65 (or equivalent) will also… more
- Raymond James Financial, Inc. (Montgomery, AL)
- …Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority ( FINRA ), Series 63_AG - Agent - Financial Industry Regulatory ... 66 or the ability to obtain them within four ( 4 ) months from the start of the program. +...Authority ( FINRA ), Series 65 or Series ...Authority ( FINRA ), Series 65 or Series 66_RA - Investment… more
- Raymond James Financial, Inc. (Bluffton, SC)
- …Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority ( FINRA ), Series 63_AG - Agent - Financial Industry Regulatory ... 66 or the ability to obtain them within four ( 4 ) months from the start of the program. *...Authority ( FINRA ), Series 65 or Series ...Authority ( FINRA ), Series 65 or Series 66_RA - Investment… more
- Wells Fargo (Scottsdale, AZ)
- …military experience, education + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7, 9/10, and 66 examinations (or FINRA ... legal, compliance, human resources, credit and risk **Required Qualifications:** + 4 + years of Supervisory Control, Risk Management Consulting, Property or Casualty… more
- Wells Fargo (Youngstown, OH)
- …military experience, education + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 66 (or 63 and 65) examinations (or ... and training for entry-level Client Associates **Required Qualifications:** + 4 + years of Brokerage and Client Services experience, or... FINRA recognized equivalents) sufficient to qualify for immediate … more