- Wells Fargo (Lake Jackson, TX)
- …partners **Desired Qualifications:** + Successfully completed Financial Industry Regulatory Authority (FINRA) Series 6 and Series 63 examinations (or FINRA ... Wells Fargo sales practices risk management culture + Current registration for FINRA Series 6 and Series 63 (or FINRA recognized equivalents) is required for… more
- Raymond James Financial, Inc. (NJ)
- …or ability to 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: ... + SIE required provided that an exemption or grandfathering cannot be applied. + FINRA Series 7 and the ability to obtain within ninety (90) days. + Series … more
- Wells Fargo (Greenville, SC)
- …+ Experience recommending financial services products and services + Successfully completed FINRA Series 6 and 63 exams (or recognized FINRA equivalents) to ... Wells Fargo sales practices risk management culture + Current registration for FINRA Series 6 and Series 63 (or FINRA recognized equivalents) is required for… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …ability to 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: Series 4, 9/10, 14, 16, 23, 24, 26, 27,...would be qualified to register as an Operations Professional ( Series 99) without passing the examination.)_ + _Ability to… more
- US Bank (Bridgeton, MO)
- …to meet defined referral client and wealth management introductions. Position requires the FINRA SIE, Series 6 (or Series 7) and Series 63 (or ... of experience and commensurate training - FINRA Securities Industry Essentials (SIE), Series 6 , and Series 63 or equivalent FINRA registrations **Preferred… more
- The Walt Disney Company (Anaheim, CA)
- …L&D Insurance License - Required FINRA 63 - Required FINRA Series 7 - Preferred FINRA Series 6 - Will Be Considered Continued employment for Series 6 ... difference - not just in members' lives but within your team and community. + A Series 7 and 66 or equivalent as well as insurance licenses for Life, Health, and… more
- BMO Financial Group (Greenwood, IN)
- **This is a licensed position requiring the SIE, Series 6 , 63, Life and Health** _The mission of Premier Services is to help mass affluent clientele make real ... _You belong here!_ + **This is a licensed position requiring the SIE, Series 6 , 63, Life and Health** + Proactively builds and manages an assigned portfolio… more
- Huntington National Bank (Columbus, OH)
- …+ 1+ years of related experience in investment industry with a focus on service/sales. + FINRA Series 6 and 63 + State Health and Life, Series 7 and ... commitment to excellence in service and follow up + State Health and Life, Series 7, and Series 66 or 63/65 Exempt Status: (Yes = not eligible for overtime pay)… more
- Raymond James Financial, Inc. (Memphis, TN)
- …required,** or **ability to obtain within 120 days** (as required by FINRA). Persons holding Series 6 , 7, 17, 37 or 38 or those who hold principal-level ... registrations: Series 4, 9/10, 14, 16, 23, 24, 26, 27,...would be qualified to register as an Operations Professional ( Series 99) without passing the examination. **Education** High School… more
- Raymond James Financial, Inc. (Memphis, TN)
- …required,** or **ability to obtain within 120 days** (as required by FINRA). Persons holding Series 6 , 7, 17, 37 or 38 or those who hold principal-level ... registrations: Series 4, 9/10, 14, 16, 23, 24, 26, 27,...would be qualified to register as an Operations Professional ( Series 99) without passing the examination. **Education** High School… more
- Wells Fargo (Charlotte, NC)
- …experience, training, military experience, education + Successfully completed SIE or FINRA Series 6 exam to qualify for immediate registration **Desired ... (RICP) and Certified Retirement Counselor (CRC) Designation + FINRA registration including Series 7, Series 63 or Series 66 (or FINRA recognized equivalents)… more
- ADP (Dallas, TX)
- …financial transactions, **_they are required to successfully obtain and maintain their series 6 and 63 FINRA securities licenses._** **Job Responsibilities:** + ... opportunities with other business units as needed. **Job Requirements:** + FINRA Series 6 and 63 securities licenses and Securities Industry Essentials **(can be… more
- Equitable (Charlotte, NC)
- …sales techniques. Concurrent with product training, PSA candidates are required to pass the Series 6 and Series 63 examinations. Once properly licensed, ... Rewards Program (https://portal.equitable.com/appentry/EDoxRedirect?node\_id=A2023013000001) **Qualifications** **Required Qualifications** * Must have Series 6 and 63 licenses or be… more
- Aegon Asset Management (Denver, CO)
- …the department as needed. Qualifications + Bachelor's degree in a business related field. + FINRA Series 6 and 63 licenses + One or more of the following: JD, ... MBT, or MST + FINRA Series 63 license + FINRA Series 7 to be completed in 6 months Working Conditions + Remote environment. + Frequent travel (up to 40%).… more
- Access Dubuque (Dubuque, IA)
- …continue to grow your practice and obtain support for registrations and certifications such as the Series 6 & 63 or CFP (R) . Get inspired at local and national ... Support for insurance licensing (life, health, DI, LTC) + Support for SIE, Series 6 , Series 63 registrations (eligibility required) **About Us** For over 165… more
- TIAA (Frisco, TX)
- …associates up for success. You can even receive funding, coaching and support to pass FINRA Series 6 or 7 and 63 certification exams if you are not currently ... **Work Experience** + No Experience Required **FINRA Registrations** + SRC Indicator: Series 6 or 7; Series 63 **Licenses and Certifications** + Life… more
- Aristotle Capital Management (Newport Beach, CA)
- …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. ... the financial services industry, specifically RIA, required. + Bachelor's degree from an accredited college or university, preferred. + Series 7 required: or the… more
- AON (Bloomington, MN)
- …in relevant field or equivalent years of industry experience + Life & Health insurance / Series 6 and 63 licenses preferred; will need to obtain within 6 ... relevant field or equivalent years of industry experience + Life & Health insurance / Series 6 and 63 licenses preferred; will need to obtain within 6 months… more
- Wells Fargo (Albuquerque, NM)
- …experience, education + US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 6 and Series 63 examinations (or FINRA ... to Wells Fargo sales practices risk management culture + For certain states, FINRA Series 65 (or equivalent) will also be required to be attempted within a specified… more
- NBT Bank (Vestal, NY)
- …team player and high quality service provider. Unique Job Characteristics and Requirements: NASD Series 6 and Life License. Series 7 preferred. If not ... Series 7 licensed, FC will be required to obtain license within 90 days. Tasks Performed: + 50% Interviews and profiles customers/prospects to determine investment and insurance needs, recommend appropriate products, and makes appropriate referral to… more
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