- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and continuing education options. **Job Summary:** The Advisory Supervision team provides fiduciary oversight of Investment Adviser Representatives ... in addition to capital markets and asset management. The Supervision department partners closely with the business to proactively...as firm policies governing advisory accounts. An Advisor , general investment advisory is… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …corporations and municipalities through its subsidiary companies engaged primarily in investment and financial planning, in addition to capital markets and asset ... management. The Supervision department partners closely with the business to proactively...persons prior to affiliating with/joining Raymond James. The Senior Advisor of this team will work in partnership with… more
- Bank of America (Tampa, FL)
- Merrill Market Supervision Manager Tampa, Florida **Job Description:** At Bank of America, we are guided by a common purpose to help make financial lives better ... objectives and contributing to market profitability by influencing Financial Advisor business practices to minimize regulatory, financial, and reputational risks.… more
- Equitable (Tampa, FL)
- …(NY, NY ###), member FINRA, SIPC (Equitable Financial Advisors in MI & TN). Investment advisory products and services offered through Equitable Advisors, LLC, an ... existing experienced financial professionals * Ensuring compliance oversight and supervision * Exemplifies the successful financial professional profile by...SEC-registered investment advisor . Annuity and insurance products offered… more