- 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 be used in lieu of 53, Series 63 & 65 can be used in lieu...and operations.** + Familiar with SEC Marketing Rule and FINRA Communication with the Public Rule 2210. + Strong… more
- Equitable (Williamsville, NY)
- …Rewards Program (https://portal.equitable.com/appentry/EDoxRedirect?node\_id=A2023013000001) **Qualifications** **Required Qualifications** + FINRA Series 7 ... Regional Compliance Analyst (Willing to Obtain Series 24) ( 240000P6 ) **Primary Location** :...and have a strong proficiency. **Preferred Qualifications** + Additional FINRA Registrations Preferred: 66 or 65/63. + Bachelor's Degree… more
- Zions Bancorporation (Denver, CO)
- …+ Intermediate computer skills including word processing and spreadsheet software. + FINRA Series 79 (or grandfathered Series 7 ), Series 63 will ... but not limited to, level of experience, skills, expertise, location, education, FINRA licenses, and certifications. Benefits: + Medical & Dental Insurance &… more
- Wells Fargo (St. Louis, MO)
- …military experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 examination (or FINRA ... to travel 10 percent of the time may be required + US Only: Registration for FINRA Series 9/10 and Series 66 must be completed within a 90 or 180-day time… more
- Wells Fargo (Jacksonville, FL)
- …3+ years of management experience + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 , 9, 10, and 63 examinations (or ... FINRA license(s) is required for ongoing employment in this position. FINRA Series 66 (or 63 and 65) examinations or equivalent must be completed within… more
- Wells Fargo (Dallas, TX)
- …or Leadership Experience + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 , 9, 10, and 63 examinations (or ... FINRA license(s) is required for ongoing employment in this position. FINRA Series 9 and 10 examinations, or equivalent must be completed within 120 days.… more
- Wells Fargo (Davidson, NC)
- …2+ years of leadership experience + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 , 9, 10, and 63 examinations (or ... FINRA license(s) is required for ongoing employment in this position. FINRA Series 9 and 10 examinations, or equivalent must be completed within 120 days.… 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 , ... communication skills + Leadership skills **Job Expectations:** + US Only: Registration for FINRA Series 66 or 65 must be completed within 90 days of hire date… more
- Wells Fargo (Minneapolis, MN)
- …+ 1+ years of leadership experience + Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 66 examinations (or FINRA ... support experience or financial services industry experience + Successfully completed FINRA Series 9/10 (or FINRA recognized equivalents) + Demonstrated… more
- Wells Fargo (Milwaukee, WI)
- …4+ years of management experience + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 , 9, 10, and 63 examinations (or ... FINRA license(s) is required for ongoing employment in this position. FINRA Series 66 (or 63 and 65) examinations, or equivalent must be completed within… more
- Wells Fargo (St. Louis, MO)
- …in the financial services/RIA industry + Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 examination (or FINRA recognized ... registration including one or more of the following: FINRA Series 66, 24, or FINRA...Rights, or other long-term incentive awards **Posting End Date:** 7 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 ... military experience, education + Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63(or 66) examinations (or FINRA… more
- Wells Fargo (Cincinnati, OH)
- …completed Securities Industry Essentials (SIE) exam or equivalent **Desired Qualifications:** + Successfully completed FINRA Series 7 and 66 (or 63 and 65) ... Authority ( FINRA ) license(s) is required for ongoing employment in this position. FINRA Series 7 and 66 (or 63 and 65) examinations, or equivalent must… more
- PNC (Cleveland, OH)
- …primarily be based at the Tower at PNC Plaza. **Job Description** + Licensing requirements: FINRA Series 7 . In addition, a combination of the following ... **Education** Bachelors **Certifications** No Required Certification(s) **Licenses** Capital Markets - FINRA Series 7 & 63. PNCI Operations - FINRA… 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 ... (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration **Desired Qualifications:** + 1+ years of leadership experience +… more
- Wells Fargo (Hunt Valley, MD)
- …military experience, education. + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 , 9/10, and 66 examinations (or ... 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 (San Francisco, CA)
- …for transfer upon hire. FINRA recognized equivalents will be accepted. + Registration for FINRA Series 7 must be completed within 180 days of hire date ... upon hire. FINRA recognized equivalents will be accepted. + Registration for FINRA Series 63 (or 66) must be completed within 180 days of hire date if… more
- Vanguard (Scottsdale, AZ)
- …+ Fully paid training, coaching, and continuous support needed to pass the SIE and FINRA Series 7 & 63 + Acumen building on our products and services to ... not required ). + Ability to successfully pass the Series 7 and Series 63...equivalent licenses) within the time frame described in Vanguard's FINRA Licensing Policy by utilizing resources and support provided… more
- Principal Financial Group (Des Moines, IA)
- …a BD/IA environment. **Minimum of 3 years in a supervisory or managerial role required.** + FINRA Series 7 , 66 and Series 24 registration **required.** ... Series 4 and 53 must be acquired within 12 months of hire. FINRA Series 99 preferred. + Must possess strong knowledge and understanding of SEC, FINRA … more
- Wells Fargo (Irvine, CA)
- …military experience, education + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 , 9/10, and 66 examinations (or ... FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration **Desired Qualifications:** + Experience partnering with business, compliance… more