- TD Bank (Greenville, SC)
- …(Preferred or ability to obtain within the scheduled time frame) * Securities Industry Essentials (SIE) * FINRA Series 7 Required * FINRA Series 24 ... (or Series 9/10) (Required or ability to obtain within 90-day time frame) * FINRA Series 63 or 66 (Required or ability to obtain within 90-day time frame) * … more
- Wells Fargo (Naperville, IL)
- …military experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 examinations (or FINRA ... FINRA license(s) is required for ongoing employment in this position. FINRA Series 9/10 and 65 or 66 examinations or equivalent must be completed within… more
- Wells Fargo (Alpharetta, GA)
- …military experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 examinations (or FINRA ... FINRA license(s) is required for ongoing employment in this position. FINRA Series 9/10 and 65 or 66 examinations or equivalent must be completed within… more
- Wells Fargo (Indianapolis, IN)
- …training, military experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 or 7 and ... **Desired Qualifications:** + 1+ years of leadership experience + Successfully completed FINRA Series 9/10 to qualify for immediate registration (or FINRA … 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 ... experience, training, military experience, education + Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 or 7 and 66… more
- Wells Fargo (Chicago, IL)
- …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 (Portsmouth, NH)
- …Regulatory Authority ( FINRA ) license(s) is required for ongoing employment in this position. FINRA Series 7 and 66 (or 63 and 65) examinations, or ... following: work experience, training, military experience, education **Desired Qualifications:** + FINRA registration including Series 7 and 66 (or FINRA … more
- Wells Fargo (Coral Gables, FL)
- …training, 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 recognized equivalents) sufficient to qualify for immediate FINRA registration **Desired qualifications:** + Brokerage client support experience… more
- Wells Fargo (Bellevue, WA)
- …military experience, education + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 examinations (or FINRA ... environment **Job Expectations:** + US only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position.… more
- Wells Fargo (Davenport, IA)
- …military experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 examinations (or FINRA ... complex environment **Job Expectations:** + US Only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position +… more
- Wells Fargo (Short Hills, NJ)
- …training, 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 recognized equivalents) sufficient to qualify for immediate FINRA registration **Desired Qualifications:** + Ability to prioritize work,… more
- Wells Fargo (Short Hills, NJ)
- …training, 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 recognized equivalents) sufficient to qualify for immediate FINRA registration **Desired Qualifications:** + Ability to prioritize work,… more
- Wells Fargo (Hyannis, MA)
- …training, 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 + US only: Insurance licenses **Desired Qualifications:** +… more
- PNC (Pittsburgh, PA)
- …at PNC Plaza or 1900 E. 9th Street location. **Job Description** + Licensing requirements: FINRA Series 7 and 24 required. In addition, a combination of ... service) may be considered. **Education** Bachelors **Certifications** No Required Certification(s) **Licenses** FINRA Series 7 and 24 required. In addition,… more
- JPMorgan Chase (Denver, CO)
- …industry + Licenses required to perform all job duties associated with the role: FINRA Series 7 , 66 (63/65), 9/10 (4,24,53), appropriate State Life ... & Health Insurance license + Minimum licensing requirement: FINRA Series 7 and one or more of the following licenses: FINRA Series 66 (63/65), 9/10… more
- City National Bank (Minneapolis, MN)
- …years of supervisory experience. + Financial services relating to wealth management experience required. + FINRA Series 7 : General Securities Rep + FINRA ... lead, and motivate others in a fast-paced, changing environment. + FINRA Series 7 Registration and CAMS certification preferred **Compensation** Starting… more
- T. Rowe Price (Colorado Springs, CO)
- …experience + 2+ years of total relevant work experience with inbound and/or phone-based sales + FINRA Series 7 and 66 PREFERRED + 3+ years of related ... are required and will be supported for this role. This role requires the FINRA Series 7 and Series 66 licenses. WORK FLEXIBLITY This role is eligible for… more
- Truist (Winston Salem, NC)
- …accommodations may be made to enable individuals with disabilities to perform the essential functions. + FINRA Series 7 , 24, 53, and 66 licenses ( Series ... training. + 8 + years of regulatory, compliance or supervisory experience + FINRA Series 4 + Strong knowledge in field of assigned business unit(s). **General… more
- Truist (Charlotte, NC)
- …each Region. + Other activities and special projects, as deemed required. **Required Qualifications:** + FINRA Series 7 , 24, and 66 licenses ( Series ... Qualifications:** + Bachelor's degree in Finance or Business + 7 or more years of regulatory, compliance or supervisory...more years of regulatory, compliance or supervisory experience + FINRA Series 4 and 53 + Life… more
- JPMorgan Chase (Plano, TX)
- …the opportunities arise for licensed individuals. **Required Qualifications, Capabilities and Skills:** + FINRA Series 7 and 24 licenses required. Series ... the brokerage account maintenance service requests in accordance with FINRA rules and industry regulations. + Leveraging a **risk...7 required at time of interview, will sponsor Series 24. + 5+ years of experience in financial… more