- Wells Fargo (Paramount, CA)
- …partners **Desired Qualifications:** + Successfully completed Financial Industry Regulatory Authority (FINRA) Series 6 and Series 63 examinations (or FINRA ... Wells Fargo sales practices risk management culture + Current registration for FINRA Series 6 and Series 63 (or FINRA recognized equivalents) is required for… more
- Wells Fargo (San Diego, CA)
- …+ Experience recommending financial services products and services + Successfully completed FINRA Series 6 and 63 exams (or recognized FINRA equivalents) to ... Wells Fargo sales practices risk management culture + Current registration for FINRA Series 6 and Series 63 (or FINRA recognized equivalents) is required for… more
- Nuveen Investments (Frisco, TX)
- …Preferred **Work Experience** + 3+ Years Required; 5+ Years Preferred **FINRA Registrations** + SRC Indicator: Series 6 or 7; Series 63; Series 26 or 24 ... experience + Experience coaching and developing contact center or customer service teams. + Series 6 or 7 and Series 63 required. + Must obtain Series… more
- US Bank (Franklin, TN)
- …to meet defined referral client and wealth management introductions. Position requires the FINRA SIE, Series 6 (or Series 7) and Series 63 (or ... of experience and commensurate training - FINRA Securities Industry Essentials (SIE), Series 6 , and Series 63 or equivalent FINRA registrations Preferred… more
- Huntington National Bank (Columbus, OH)
- …+ 1+ years of related experience in investment industry with a focus on service/sales. + FINRA Series 6 and 63 + State Health and Life, Series 7 and ... commitment to excellence in service and follow up + State Health and Life, Series 7, and Series 66 or 63/65 Exempt Status: (Yes = not eligible for overtime pay)… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …required,** or **ability to obtain within 120 days** (as required by FINRA). Persons holding Series 6 , 7, 17, 37 or 38 or those who hold principal-level ... registrations: Series 4, 9/10, 14, 16, 23, 24, 26, 27,...would be qualified to register as an Operations Professional ( Series 99) without passing the examination. + ** Series… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …required,** or ability to obtain within 120 days (as required by FINRA). Persons holding Series 6 , 7, 17, 37 or 38 or those who hold principal-level ... registrations: Series 4, 9/10, 14, 16, 23, 24, 26, 27,...28, 51, and 53 would be qualified to register as an Operations Professional ( Series 99) without passing the… more
- Raymond James Financial, Inc. (Southfield, MI)
- …required, or ability to obtain within 120 days (as required by FINRA). Persons holding Series 6 , 7, 17, 37 or 38 or those who hold principal-level registrations: ... Series 4, 9/10, 14, 16, 23, 24, 26, 27,...would be qualified to register as an Operations Professional ( Series 99) without passing the examination. + Series… more
- BMO Financial Group (Berkeley, CA)
- **This is a licensed position requiring the SIE, Series 6 , 63, Life and Health** **_The mission of Premier Services is to help mass affluent clientele make real ... _You belong here!_ + **This is a licensed position requiring the SIE, Series 6 , 63, Life and Health** + Proactively builds and manages an assigned portfolio… more
- Access Dubuque (Dubuque, IA)
- …licenses: Life/Accident & Health Certifications, Securities Industry Essentials (SIE), and Series 6 , 7, and 63. Northwestern Mutual provides ... programs and expense allowances + Support for insurance licensing, Securities Industry Essentials┬", Series 6 , Series 7, Series 63, and more + Certified… more
- JPMorgan Chase (Columbus, OH)
- …products and valueadd resources + Work towards and obtain Securities Industry Essentials, Series 6 and Series 63 securities licenses **Required ... problem solving skills + Attention to detail + Obtain Securities Industry Essentials, Series 6 and Series 63 securities licenses within 120 days of starting… more
- Raymond James Financial, Inc. (Santa Fe, NM)
- …required,** or **ability to obtain within 120 days** (as required by FINRA). Persons holding Series 6 , 7, 17, 37 or 38 or those who hold principal-level ... registrations: Series 4, 9/10, 14, 16, 23, 24, 26, 27,...would be qualified to register as an Operations Professional ( Series 99) without passing the examination. **Responsibilities** : +… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …required,** or **ability to obtain within 120 days** (as required by FINRA). Persons holding Series 6 , 7, 17, 37 or 38 or those who hold principal-level ... registrations: Series 4, 9/10, 14, 16, 23, 24, 26, 27,...28, 51, and 53 would be qualified to register as an Operations Professional ( Series 99) without passing the… more
- US Bank (Omaha, NE)
- …to meet defined referral client and wealth management introductions. Position requires the FINRA SIE, Series 6 (or Series 7) and Series 63 (or ... Series 66) registrations. Position is defined as a referral only registered representative. This position requires National Mortgage Licensing System (NMLS) registration under the terms of the SAFE Act of 2008 and Regulation Z. You will be subject to the… more
- Raymond James Financial, Inc. (Memphis, TN)
- …required,** or **ability to obtain within 120 days** (as required by FINRA). Persons holding Series 6 , 7, 17, 37 or 38 or those who hold principal-level ... registrations: Series 4, 9/10, 14, 16, 23, 24, 26, 27,...28, 51, and 53 would be qualified to register as an Operations Professional ( Series 99) without passing the… more
- Equitable (Charlotte, NC)
- …sales techniques. Concurrent with product training, PSA candidates are required to pass the Series 6 and Series 63 examinations. Once properly licensed, ... : Equitable Total Rewards Program **Qualifications** **Required Qualifications** * Must have Series 6 and 63 licenses or be willing to obtain within 180 days… more
- ADP (El Paso, TX)
- …financial transactions, **_they are required to successfully obtain and maintain their series 6 and 63 FINRA securities licenses._** **Job Responsibilities:** + ... opportunities with other business units as needed. **Job Requirements:** + FINRA Series 6 and 63 securities licenses and Securities Industry Essentials **(can be… more
- Nuveen Investments (Frisco, TX)
- …associates up for success. You can even receive funding, coaching and support to pass FINRA Series 6 or 7 and 63 certification exams if you are not currently ... **Work Experience** + No Experience Required **FINRA Registrations** + SRC Indicator: Series 6 or 7; Series 63 **Licenses and Certifications** + Life… more
- Alight (TX)
- …. **Alight is Looking for a Licensed DC Customer Solutions Specialist** **_(FINRA Series 6 or 7 is required)_** This role requires that qualified ... on qualified and non-qualified retirement plan benefits. **Requirements** + Possess FINRA Series 6 or 7. Series 63/65/66 a plus. + Demonstrate Defined… more
- Arrow Financial Corporation (Glens Falls, NY)
- …field or equivalent experience required > 6 years of experience in investment required > Series 6 , Series 7, and Series 63 licenses required > New ... York State Health & Life Insurance license required Skills/Knowledge: > Excellent organizational, analytical, and communication skills, both written and verbal > Professionalism with strong presentation and interpersonal skills to conduct formal/informal… more
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