- Desert Financial Credit Union (Phoenix, AZ)
- …agencies as well as adhering to the written policies and procedures of the broker / dealer and the Financial Institution. Perform other job-related duties as ... goals and assist with attaining the program sales and service goals. You must possess industry knowledge and familiarity...will conduct business on behalf of the Investments & Financial Services program. What you will do… more
- Kestra Financial Independent Advisor (Castle Rock, CO)
- … services industry, allowing for a strong understanding of broker / dealer operations and financial services products, including but not limited ... Summary The Client Service Associate reports to all Advisors and the...servicing. This position requires a strong understanding of the financial services industry and products and is… more
- Brookfield Asset Management, Inc. (Chicago, IL)
- …of Brookfield and Oaktree to private wealth investors, in partnership with their financial advisors. The business unit is dedicated to effectively supporting the ... financial intermediary community and bringing timely & unique solutions...Wholesaler) is responsible for the execution of all sales, service , and marketing related activities in their region within… more
- Kestra Financial Independent Advisor (Cypress, TX)
- … services industry, allowing for a strong understanding of broker / dealer operations and financial services products, including but not limited ... servicing. This position requires a strong understanding of the financial services industry and products and is...large book of business, including managing client needs regarding service , asset allocation, case design, and financial … more
- USAA (Phoenix, AZ)
- …operations. 3 years of experience in annuity and/or life insurance distribution through full- service brokerage and bank broker dealer firms. Excellent ... our mission is to empower our members to achieve financial security through highly competitive products, exceptional service...more years of experience in annuity operations support and service , preferably within a broker - dealer … more
- Advisor Employee Services (Denver, CO)
- …that you want to contribute to an established and continually growing office? EA Buck Financial Services in Denver, CO is looking for a strong, detail-oriented ... business processing. Submit documents in their entirety to the Broker / Dealer for review and approval. Submit vendor...Services Thank you for your interest in the Service Advisor role. Advisor Employee Services , a… more
- Cetera Financial Group, Inc. (Cleveland, OH)
- …through Cetera include award-winning wealth management and advisory platforms, comprehensive broker - dealer and registered investment adviser services , ... programs What is nice to have: Previous experience in assisting Registered Representatives/ Financial Advisors Financial services and/or banking background… more
- Lincoln Financial (Broomall, PA)
- …solutions and service to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of ... annuity contracts - Fund participation agreements - Contracts with service and distribution partners - Settlement agreements Advocate Lincoln...an attorney preferably either at a law firm or financial services company Experience with the tax… more
- Lincoln Financial (Seattle, WA)
- …solutions and service to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of ... What we're looking for Must-Haves 3-5 years' external sales experience in the financial services industry that directly aligns with the specific responsibilities… more
- TD Bank Group (Lake Mary, FL)
- …role ensures all requirements are met for the successful settlement of foreign broker dealer transactions. Responsibilities Include Work with a team of ... operations employees to facilitate the daily settlement of foreign broker dealer transactions while mitigating risk. Cross-train...oriented. Who We Are TD Cowen is a diversified financial services firm offering investment banking … more
- TD Bank Group (Downingtown, PA)
- …business activities (eg OCC, SEC, State Insurance Commissioners, NY Department of Financial Services , etc.) Ensures all Continuing Education requirements are ... others OCC: This position is with a FINRA member, broker and/or dealer and is subject to...banking experience or are just starting your career in financial services , we can help you realize… more
- Hilltop Holdings (Dallas, TX)
- …portfolio of products, we deliver a broad range of investment banking and related financial services that help our clients achieve their definition of success. ... -dealers and Registered Investment Advisors who provide institutional and financial services through industry experts. We aim...investing objectives. As one of the nation's largest licensed broker - dealer clearing firms, we are focused on… more
- Fulton Bank (Bethlehem, PA)
- …business, finance or related. (Required) Experience 5 or more years experience in financial services or sales environment. (Preferred) 3 or more years ... administration in financial services or sales environment. (Required) 2...(Required) Must be able to be affiliated with our Broker Dealer . (Required) Knowledge, Skills, and Abilities… more
- Jefferies (New York, NY)
- …integrated investment banking and securities firm. Our largest subsidiary, Jefferies LLC, a US broker - dealer , was founded in the US in 1962 and our first ... international operating subsidiary, Jefferies International Limited, a UK broker - dealer , was established in the UK in 1986. Our strategy focuses on continuing to… more
- Northwestern Mutual (Stamford, CT)
- …(NLTC), Northwestern Mutual Investment Services , LLC (NMIS) (Investment Brokerage Services ), a registered investment adviser, broker - dealer , and member ... Overview Becoming a financial advisor at Northwestern Mutual is a unique...*Asset & Income Protection *Education Funding *Investment & Advisory Services *Trust Services *Retirement Solutions *Business Needs… more
- Lincoln Financial (Jacksonville, FL)
- …solutions and service to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of ... will develop and maintains an understanding of LFG's products, services , and operational structure to enhance ability to identify...volume. What's it like to work here? At Lincoln Financial , we love what we do. We make meaningful… more
- Cetera Financial Group, Inc. (San Diego, CA)
- …through Cetera include award-winning wealth management and advisory platforms, comprehensive broker - dealer and registered investment adviser services , ... Financial Group(R) ("Cetera") is a leading network of independent retail broker -dealers empowering the delivery of objective financial advice to individuals,… more
- Lincoln Financial (Broomall, PA)
- …solutions and service to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of ... of securities and governance matters to internal groups, including Financial Reporting, Investor Relations, Corporate Communications, Executive Compensation, Treasury… more
- Cetera Financial Group, Inc. (Dallas, TX)
- …through Cetera include award-winning wealth management and advisory platforms, comprehensive broker - dealer and registered investment adviser services , ... Financial Group(R) ("Cetera") is a leading network of independent retail broker -dealers empowering the delivery of objective financial advice to individuals,… more
- JPMorgan Chase & Co. (Azusa, CA)
- …least 2 years in a Financial Advisor role or equivalent financial services experience Demonstrated success in client acquisition, cultivating and maintaining ... offered through JP Morgan Securities LLC (JPMS), a registered broker - dealer and investment advisor, member of FINRA...in all states. About Us Chase is a leading financial services firm, helping nearly half of… more
