- 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
- Kestra Financial (West Hartford, CT)
- …the independent financial services culture preferred. Certificates, Licenses, Registration + Series 7 and 66 required + CFP preferred (or ability to obtain) ... Benefits + 401(k) + 401(k) matching + Paid time off more
- Guardian Life (New York, NY)
- …alternative investments + Bachelor's degree or equivalent work experience + Series 7 , 65/66 required; professional designations (CIMA, CFP , CPWA) a plus + ... Strong relationship and consultative management skills + Excellent presentation skills, articulate, polite, confident, able to establish relationships with the Field, including GAs, Investment Specialists, FRs, MDs, and Home Office personnel. **Location** + In… more
- JPMorgan Chase (Tulsa, OK)
- …years of experience in a leadership position + Bachelor's degree required; MBA, JD, CFA, or CFP preferred + FINRA Series 7 , 66, 9, 10 and Insurance licenses ... required for position; however, unlicensed candidates considered but required to obtain licenses within 120 days of start date + Experience or demonstrated understanding of investments, wealth planning, credit and banking concepts **Preferred Qualifications,… more
- TIAA (Cincinnati, OH)
- …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(R), 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
- TIAA (Charlotte, NC)
- …Preferred **Work Experience** + 2+ Years Required; 3+ Years Preferred **FINRA Registrations** + SRC Indicator: Series 7 ; Series 63; Series 65; Series ... 66 **Licenses and Certifications** + Certified Financial Planner ( CFP ) - Certified Financial Planner Board of Standards required Upon Hire **Physical Requirements**… 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
- Charles Schwab (Westlake, TX)
- …CFP , CFA, MBA, CHFC, CPWA) highly preferred **Required Qualifications** + Active & valid FINRA Series 7 license required + Active & valid FINRA Series 66 ... & Health insurance (or may be obtained within 90 days of employment) + 7 + years financial services industry experience + 2+ years Ultra- HNW client experience… more
- Charles Schwab (Westlake, TX)
- …Required Qualifications: + Bachelor's degree + CFP (R) designation + Active and valid FINRA Series 7 license + Active and valid FINRA Series 63/65 or 66, ... our clients' financial lives. As Fiduciaries, we bring expertise across Schwab's 7 Wealth Management topics in conjunction with powerful technology to inspire… more
- City National Bank (New York, NY)
- …of investment related experience * Minimum 3 years experience in investment sales * FINRA Series 7 and 63 and 65 or 66 *Additional Qualifications* * The SFA ... 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 (Phoenix, AZ)
- …Planning-related designation + CFP (R) designation is required. + Active and valid FINRA Series 7 license required. + Active and valid FINRA Series 63/65 ... holistic financial needs. Demonstrate the value and importance of partnering with a CFP (R) professional on an ongoing basis. + Partner with clients to create, review… 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
- Charles Schwab (Bellevue, WA)
- …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 (Chattanooga, TN)
- …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
- Principal Financial Group (Des Moines, IA)
- …of experience on a sales or service team marketing products and services + FINRA Series 7 , FINRA Series 63, or equivalent registrations required immediately ... upon employment + FINRA Series 65 or 66 Licenses or ability to obtain...+ Chartered Financial Consultant (ChFC) or Certified Financial Planner ( CFP ) supported and encouraged for growth and development +… more
- Truist (Charlottesville, VA)
- …standards specific to investments and insurance. 5. A minimum of Securities Industry Essentials (SIE), FINRA Series 7 , Series 66 or 65/63, and Series 24 ... and prospect referrals and executes on the enterprise IRM strategy. 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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …o SIE required provided that an exemption or grandfathering cannot be applied. o Required to have a Series 7 and 66 o Series 7 and 65 can be used ... combination of experience, education, and/or training. **Licenses/Certifications:** * Appropriate series license(s) for assigned functional area preferred or the...instead of the 66 o Applicable designation or CFP can be used instead of the 65 or… more