- Empower (Tallahassee, FL)
- …seminars/training, meeting all federal and state requirements as they pertain to securities and insurance regulations etc., in support of strategic department and ... firm initiatives. What You Will Bring: FINRA Series 7, 63, and 65 (or 66) registrations required....401(k) plan with generous company matching contributions (up to 6 %), financial advisory services, potential company discretionary contribution, and… more
- Aegon Asset Management (Denver, CO)
- …(typically two to five years) + Life license for insurance product analysis + FINRA Series 6 or 7 for securities product analysis + Thorough understanding ... annuity products and their various features and benefits. + For securities products - experience evaluating asset management offerings, advisory programs and… more
- ADP (El Paso, TX)
- …processes financial transactions, **_they are required to successfully obtain and maintain their series 6 and 63 FINRA securities licenses._** **Job ... opportunities with other business units as needed. **Job Requirements:** + FINRA Series 6 and 63 securities licenses and Securities Industry… more
- JPMorgan Chase (Columbus, OH)
- …+ Educate clients about JPMorgan products and valueadd resources + Work towards and obtain Securities Industry Essentials, Series 6 and Series 63 ... Relationship building and problem solving skills + Attention to detail + Obtain Securities Industry Essentials, Series 6 and Series 63 securities … more
- Truist (New York, NY)
- …support and oversight for change activities (both business and regulatory change). 6 . Provide oversight and support for open risk, audit, and regulatory issues. ... of risk management experience in financial services or related field. 3. 6 + years of leadership experience. 4. Subject matter expertise in assigned/specified line… more
- Access Dubuque (Dubuque, IA)
- …Life/Accident & Health Certifications, Securities Industry Essentials (SIE), and Series 6 , 7, and 63. Northwestern Mutual provides pre-payment/reimbursement* ... + Bonus programs and expense allowances + Support for insurance licensing, Securities Industry Essentials┬", Series 6 , Series 7, Series 63,… more
- Aegon Asset Management (Denver, CO)
- …advisers. Qualifications + High School education or GED equivalent required. + Willing to obtain Series 6 /63 Securities Licenses within 6 months hire. + ... Willing to obtain resident state Life Insurance License within 6 months hire. + Resourceful and well organized. + Participate in proactive team efforts to achieve… more
- Manulife (Boston, MA)
- …experience, preferably in phone and/or sales type roles. + A commitment to attain the Securities Industry Essentials, Series 6 , 63 plus state insurance and ... variable licenses within 4 months of hire + Passion for growing a territory with a positive mindset + Excellent relationship building, communication, presentation and negotiation skills + Superior business acumen especially with retirement plan products and… more
- Truist (Tampa, FL)
- …and Series 66 licenses. ( Series 63 & 65 in lieu of the Series 66) 6 . Exceptional telephone skills and the ability to appropriately interact with clients ... anticipating the time frame required for presentation and answering of questions. 6 . Maximize sales opportunities by contacting potential investment clients based on… more
- Thrivent Financial (Minneapolis, MN)
- …year) + Securities /insurance industry experience preferred (1+ year) + Possess or obtain securities registrations ( series 6 /63 or 7/66 or 6 /63/65) ... an unlicensed professional initially, with the commitment to become licensed within 6 months (SIE, Securities Exams ( 6 /63, 6 /63/65, or 7/66), Life/Health… more
- Wells Fargo (Davidson, NC)
- …the culture to drive employee engagement and growth in a branch or a series of branches + Responsible for overall management of branch(es) including management of ... Z (LO) outlined in the job expectations below **Required Qualifications:** + 6 + years of Financial Advisory experience, or equivalent demonstrated through one or… more
- Wells Fargo (Charlotte, NC)
- …requires securities licensing, specifically Financial Industry Regulatory Authority (FINRA) Series 7 and 63 or 7 and 66 (or FINRA-recognized equivalents) to ... Work within a contact center environment to execute and confirm routine securities transactions initiated by customers + Provide quality customer service addressing… more
- Thrivent Financial (Albert Lea, MN)
- …Qualifications + Previous administrative/secretarial experience desired. + Must be securities registered ( series 7 & 66 or 6 & 63). + Must be appropriately ... Thrivent Financial for Advisors. Individuals in this position will be focused on securities and investment advisory products and services as well as fixed and… more
- Thrivent Financial (Hummelstown, PA)
- …Qualifications + Previous administrative/secretarial experience desired. + Must be securities registered ( series 7 & 66 or 6 & 63). + Must be appropriately ... for Lutherans Financial Advisors. Individuals in this position will be focused on securities and investment advisory products and services as well as fixed and… 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: ... the end-to-end mutual fund operations function, including governance of securities master and trading restrictions; trade execution and settlement;... Series 4, 9/10, 14, 16, 23, 24, 26, 27,… more
- Wells Fargo (Foster City, CA)
- …partners **Desired Qualifications:** + Successfully completed Financial Industry Regulatory Authority (FINRA) Series 6 and Series 63 examinations (or FINRA ... practices risk management culture + Current registration for FINRA Series 6 and Series 63...For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite will be required… more
- Wells Fargo (Torrance, CA)
- …+ Experience recommending financial services products and services + Successfully completed FINRA Series 6 and 63 exams (or recognized FINRA equivalents) to ... practices risk management culture + Current registration for FINRA Series 6 and Series 63...For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite will be required… more
- US Bank (Franklin, TN)
- …retail banking experience or a combination of experience and commensurate training - FINRA Securities Industry Essentials (SIE), Series 6 , and Series ... to meet defined referral client and wealth management introductions. Position requires the FINRA SIE, Series 6 (or Series 7) and Series 63 (or Series … more
- Thrivent Financial (Bellevue, WA)
- …accounts + Document all client interactions in Salesforce profile Qualifications: + Securities registered ( series 7 & 66 or 6 & 63) + WA State Life and ... for Lutherans Financial Advisors. Individuals in this position will be focused on securities and investment advisory products and services as well as fixed and… more
- Truist (Atlanta, GA)
- …overnights (less than 25%). 10. FINRA Series 79 (Investment Banking Representative), Series 63 (Uniform Securities Agent State License), Series 24 ... debt and equity sources, and facilitating that knowledge and development within the team. 6 . Lead team to provide a credible challenge within the 1st line of defense… more
