• Client Workflow Supervision Supervisory Principal

    Citigroup (San Antonio, TX)
    …process improvement initiatives. + Required Securities Licensure (depending on role select from the following): + Series 7 license ; and + Series 63 and ... Series 65 or Series 66; and + Series 8 or Series 9 and Series 10 or Series 24 **Education:** + Bachelor's/University degree or equivalent… more
    Citigroup (01/04/25)
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  • Vice President, Advisor Transitions | St.

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …Professional ( Series 99) without passing the examination.)_ + _Ability to obtain Series 7 License or other FINRA Licenses (as required)._ **Education** ... obtain within 120 days (as required by FINRA),_ **required** + _(Persons holding Series 6, 7 , 17, 37 or 38 or those who hold principal-level registrations: … more
    Raymond James Financial, Inc. (02/11/25)
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  • VP, Branch Manager

    Charles Schwab (Southlake, TX)
    …may be the opportunity for you. **What you have** **Required** **qualifications** + Active and valid Series 7 license + Active and valid Series 66 ... be obtained within a 90-day condition of employment) + Active and valid Series 9/10 license required (may be obtained within a 90-day condition of employment) +… more
    Charles Schwab (03/09/25)
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  • JP Morgan Wealth Management - Private Client…

    JPMorgan Chase (New York, NY)
    …Securities Industry Essential (SIE) exam if registered after October 1, 2018. + Valid and active Series 7 license required or must be obtained within 60 days ... Series 66 (63/65) and Life and Health Insurance license must be obtained within 60 days of employment....within 60 days of employment. + Valid and active Series 9/10 or Series 24 license more
    JPMorgan Chase (03/13/25)
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  • Assistant Investment Officer(Floater)

    City National Bank (Los Angeles, CA)
    …* Two to five years of Customer Service or Operational experience at a Broker Dealer. * Series 7 license * Series 63 and Series 65 licenses or ... Series 66 license *Skills and Knowledge* * Bachelors degree in Business, Finance, or related area or equivalent experience. * Knowledge of SEC and FINRA rules and regulations. * Knowledge of National Financial Systems. * Knowledge of Equities, Mutual… more
    City National Bank (02/22/25)
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  • VP, Assistant Branch Manager

    Charles Schwab (Oklahoma City, OK)
    …**Required Qualifications:** + Bachelor's degree or equivalent work-related experience + A valid and active Series 7 license required + A valid and active ... Series 66 (63/65) license required + A valid and active Series 9/10 (8) license required (may be obtained within a 90 day condition of employment) + Since… more
    Charles Schwab (03/14/25)
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  • Advisor Services Sales Senior Manager, Advisor…

    Charles Schwab (Chicago, IL)
    …and lead tracking systems + Bachelor's degree or equivalent work-related experience + A valid and active Series 7 license + A valid and active Series 66 ... (63/65) license + A valid and active Series 9/10 (8) license required (may be obtained within a 90-day condition of employment) **Preferred Qualifications:**… more
    Charles Schwab (03/12/25)
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  • Asst Division Director ICD

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …**Licenses/Certifications:** * SIE required provided that an exemption or grandfathering cannot be applied. * Series 7 license required. * Series 24 or 9 ... Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA), Series 7_GS (pre 5/77 - No Options) - Financial Industry Regulatory… more
    Raymond James Financial, Inc. (02/25/25)
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  • Investment Consultant

    Charles Schwab (Little Rock, AR)
    …Schwab's Investment Consultant role. **What you have** **Required Qualifications:** + A valid and active Series 7 license is required ( license may be ... employment through Branch Network Licensing Program) + A valid and active Series 66 (63/65) license required ( license (s) may be obtained under a condition of… more
    Charles Schwab (03/14/25)
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  • Field Supervision Director - Asset & Electronic…

    Edward Jones (Tempe, AZ)
    …. Read More About Job Overview **Skills/Requirements** + Series 7 license that is ... held a minimum of one year + Must obtain Series 9, 10, 24, and 66 within 6 months...or equivalent experience preferred, but not required + Insurance license is preferred. + **Candidates that live within in… more
    Edward Jones (03/05/25)
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  • Field Supervision Officer II

    Edward Jones (Tempe, AZ)
    …. Read More About Job Overview **Skills/Requirements** Experience You Need: + Series 7 license that is currently active and ... held a minimum of one year + Must obtain Series 9, 10, 24, and 66 within 4 months...of hire What Might Set You Apart: + Insurance license is preferred + General understanding of compliance or… more
    Edward Jones (03/05/25)
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  • VP, Senior Wealth Consultant - Ultra High Net…

    Charles Schwab (Westlake, TX)
    …designations/certifications (eg, CFP, CFA, MBA, CHFC, CPWA) highly preferred + Active & valid FINRA Series 7 license required + Active & valid FINRA ... Series 66 (63/65) license required + Active & valid Life & Health...may be obtained within 90 days of employment) + 7 + years financial services industry experience + 2+ years… more
    Charles Schwab (03/04/25)
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  • Succession and Acquisition Consultant

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …**Licenses/Certifications:** SIE required provided that an exemption or grandfathering cannot be applied. Series 7 License , or ability to obtain within 6 ... months. We highly prefer candidates that have already obtained series 7 license . . **Education** Bachelor's, Bachelor's: Business Administration, Bachelor's:… more
    Raymond James Financial, Inc. (02/07/25)
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  • Financial Consultant Partner

    Charles Schwab (Santa Barbara, CA)
    …be the role for you. **What you have** **Required Qualifications:** + A valid and active Series 7 license is required ( _license may be obtained under a ... through Branch Network Licensing Program_ ) + A valid and active Series 66 (63/65) license required ( _license(s) may be obtained under a condition of… more
    Charles Schwab (03/09/25)
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  • VP, Financial Consultant

    Charles Schwab (Fairfield, CT)
    …role is for you. **What you have** **Required Qualifications:** + A valid and active FINRA Series 7 license required + Obtaining or acquiring FINRA Series ... consolidation, networking, and earning client referrals. If you currently have your securities license , enjoy working in a team setting, and share our passion for… more
    Charles Schwab (03/14/25)
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  • Investment Consultant

    Charles Schwab (Oklahoma City, OK)
    …skills include: + Bachelor's degree or equivalent work-related experience + A valid and active Series 7 license required + A valid and active Series ... 120 day condition of employment) + A valid and active Life and Health Insurance license is required (may be obtained within a 120 day condition of employment) +… more
    Charles Schwab (03/12/25)
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  • Investment Consultant- Del Mar

    Charles Schwab (San Diego, CA)
    …skills include: + Bachelor's degree or equivalent work-related experience + A valid and active Series 7 license required + A valid and active Series ... 120 day condition of employment) + A valid and active Life and Health Insurance license is required (may be obtained within a 120 day condition of employment) +… more
    Charles Schwab (03/05/25)
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  • Mid-Level Retirement Income Specialist

    USAA (Plano, TX)
    …required. + Required maintenance of Life/Health license . + Required maintenance of FINRA Series 7 license . + Required maintenance of FINRA Series ... 66 (or 63 and 65) license . + Must be able to successfully pass background check and meet all USAA and regulatory requirements. Additionally, applicant must have the ability to be licensed and registered in all required states and jurisdictions. + 4 years… more
    USAA (02/20/25)
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  • Brokerage Operations Trade Support Specialist

    Truist (Richmond, VA)
    …Authority (FINRA) Series 7 or ability to obtain the Series 7 license within 120 days of employment **Preferred Qualifications:** + Two year ... brokerage industry experience. **General Description of Available Benefits for Eligible Employees of Truist Financial Corporation:** All regular teammates (not temporary or contingent workers) working 20 hours or more per week are eligible for benefits, though… more
    Truist (02/12/25)
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  • Senior Financial Advisor

    Broadview FCU (Albany, NY)
    …NYS Life Insurance, NYS Accident & Health Insurance, Series 6 and 63, NASD Series 7 license . + Work towards obtaining advanced financial designation. + ... of Advisory Services, and/or licensing authorities. Minimum Qualifications: + Preferred college degree with 7 or more years of related experience. Licenses required:… more
    Broadview FCU (02/07/25)
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