- Kestra Financial (Baltimore, MD)
- …their needs and inquiries. Qualifications: . 3-5 years of experience in financial services. . CFP designation and Series 7 and 66 or 65 licenses required. ... . Bachelor's degree, preferably with a GPA above 3.3. . Proficiency in financial planning software (eMoney, Money Guide Pro, Morningstar). . Experience with CRM platforms (Redtail or similar), MS365, and Excel. . Strong organizational skills, a team-oriented… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …* SIE required provided that an exemption or grandfathering cannot be applied * Required: Series 7 * Preferred: CAIA, CFP , CFA, or MBA ... Individuals assuming this role will be responsible for representing the Raymond James Private Market and Alternatives platform to financial advisors and clients, with the ultimate objective of driving departmental sales and increasing overall penetration of… more
- Vanguard (Malvern, PA)
- …management in the CRM system. Qualifications + Undergraduate degree required. Series 7 , 63, and 65 or CFP required. Master's degree or professional ... certifications, such as CFA preferred. + Eight to ten years of financial services experience with at least five years in a senior level client relationship or sales role. Three to five years of successful UHNW or Institutional relationship executive or sales… more
- Neuberger Berman (New York, NY)
- …Excellent verbal and written communication skills + Proficiency in eMoney software helpful + Series 7 and 66 required, CFP (R) designation ideal Neuberger ... Berman is unable to offer visa sponsorship for this position. Applicants must be authorized to work in the United States without the need for current or future sponsorship. Compensation Details The salary range for this role is $150,000-$175,000. This is the… more
- TD Bank (Fort Lauderdale, FL)
- …and/or Institutional clients + Certified Financial Planner ( CFP ) designation is preferred + Series 7 , Series 63 + 65 or 66 and Series 24 Supervising ... Principle FINRA Registrations; Health and Life Insurance Licensure + Knowledge of Bank regulatory risk and compliance policies, processes, and requirements + Knowledge of Retail Banking systems, applications, processes, and procedures + Knowledge of KYC, ATF… more
- T. Rowe Price (Owings Mills, MD)
- …+ Demonstrated organizational skills + Strong written and verbal communication skills + FINRA Series 7 and 66, or 63/65, licenses Preferred: + CFP (R) ... designation - Assistance provided to obtain professional designation + 2-5+ years' experience in financial services offering investment management + Exceptional listening and presentation skills + Desire to quickly learn and implement new financial tools,… more
- Nuveen Investments (Hanover, NH)
- …relationships with affluent clients or equivalent experience; Required **FINRA Registrations** + SRC Indicator: Series 7 ; Series 63; Series 65; Series ... State) - Multiple Issuers required + Certified Financial Planner ( CFP ) - Certified Financial Planner Board of Standards preferred...Analyst Institute ; If you do not have the CFP or CFA certification, TIAA will cover the cost… more
- Vanguard (Dallas, TX)
- …required. + This job requires a regulatory license and/or registration (eg FINRA, NASAA). The SIE, Series 7 , and Series 66 are required to be obtained within ... department guidelines. + CFP (R) preferred, with a commitment to pursue the designation....commitment to pursue the designation. We offer a corporate CFP program to support crew in acquiring the certification.… more
- Access Dubuque (Dubuque, IA)
- …+ Bonus programs and expense allowances + Support for insurance licensing, Securities Industry Essentials┬", Series 6, Series 7 , Series 63, and more + ... licenses: Life/Accident & Health Certifications, Securities Industry Essentials (SIE), and Series 6, 7 , and 63. Northwestern Mutual provides… more
- Aegon Asset Management (GA)
- …Qualifications: + Bachelor's degree in a related field or equivalent business experience. + FINRA Series 6 or 7 . + FINRA Series 63 or obtain within ... Brand, and Government and Policy Affairs. Transamerica employs nearly 7 ,000 people. It's part of Aegon, an integrated,...(CRPC), or obtain within 12 months. Higher certification (eg CFP , CRC, CEBS, ChFC, CIMA, CRPS) acceptable in lieu… more
- City National Bank (West Hollywood, CA)
- …of investment related experience * Minimum 3 years experience in investment sales * FINRA Series 7 and 63 and 65 or 66 * California Insurance License *Additional ... MBA and 3-5 years of experience. * May possess CFP , JD/LLM, CIMA or Cannon Certified Wealth Strategist designation....CIMA or Cannon Certified Wealth Strategist designation. * FINRA Series 7 and 63 securities licenses and… more
- Charles Schwab (Campbell, CA)
- …for you. **What you have** **Required Qualifications:** + Bachelor's degree + Active FINRA Series 7 license + _(May be obtained with a 120-day condition of ... employment for certified and current CFP (R) designation or CFA(R) designation holders, verified before hire)_...CFA(R) designation holders, verified before hire)_ + Active FINRA Series 66 license + _(May be obtained within the… more
- Truist (Mclean, VA)
- …essential functions. * Bachelor's Degree Required * FINRA: Maintains proper licenses including Series 7 , Series 66, the Securities Industry Essentials (SIE) ... * Bachelor's Degree in Business, Finance or Economics * CFP preferred or CTFA, CFA, CPA, JD or MBA...Completion or enrollment in certification programs such as CFA, CFP , CPWA and CPA * 5 or more years… more
- Vanguard (Malvern, PA)
- …+ Undergraduate degree or equivalent combination of training and experience. + Active SIE and FINRA Series 7 license, and either the Series 66 or the ability ... learning opportunities-including support for professional designations such as the CFP -to help you build expertise and grow your career...equip you with the tools to take the FINRA Series 7 and 66. + A $1,500… more
- Charles Schwab (Westlake, TX)
- …+ Bachelor's degree or equivalent or equivalent work related experience + Active and valid FINRA Series 7 license is required + Active and valid FINRA Series ... day condition of employment) + Active and valid FINRA Series 66 (63/65) license is required + Active and... 24 is preferred + Additional designations are preferred: CFP , CFA, CIMA, and/or AAMS + Demonstrated leadership, management… more
- Charles Schwab (Atlanta, GA)
- …for you. **What you have** **What You Have** **Required** **qualifications** + Active and valid Series 7 license + Active and valid Series 66 (63/65) license ... leadership experience **Preferred** **qualifications** + Active and valid FINRA Series 24 license + CFP , CFA, CIMA,...and valid FINRA Series 24 license + CFP , CFA, CIMA, and/or AAMS + Strong leadership, management,… more
- Truist (Newtown, PA)
- …products for the mass affluent market. 4. A minimum of Securities Industry Essentials (SIE), FINRA Series 7 , Series 24, Series 66 or 65/63 registrations ... and general market and business issues impacting mass affluent clients. 7 . Ensures compliance with internal controls, operational procedures and risk management… more
- Vanguard (Charlotte, NC)
- …certifications such as the CFA, CTFA or CPA preferred. + This job requires a Series 7 , 63 or 66 regulatory license and/or registration (eg FINRA, state, SFC) ... Are you a Certified Financial Planner ( CFP (R)) with a passion for transforming lives through...be determined by Compliance based on role-specific duties. + 7 + years of financial advice, financial planning, book of… more
- Aristotle Capital Management (Newport Beach, CA)
- …specifically RIA, required. + Bachelor's degree from an accredited college or university, preferred. + Series 7 required: or the ability to obtain the Series ... 7 within 6 months of being hired. + Series 6, 63, or 66: strongly desired. + CFA, CFP or MBA (or progress towards), desired. + Clean U4/5. + Natural interest… more
- Alight (IL)
- …lines of business offered. **Requirements** + Have a Bachelor's or equivalent experience. + Have a Series 6 or 7 and 65 or 66. + Have experience in financial ... detailed plan provisions and documents. + Have CRPC or CFP or the ability to acquire CRPC or CFP designation within 90 days of employment. + Have Microsoft… more