- Bank of America (Lincoln, RI)
- Consumer Investments - Investment Specialist Trainee (Obtain SIE Series 7 & 66) Lincoln, Rhode Island **Job Description:** At Bank of America, we are guided by a ... skills * Is prepared to pass licensing exams - Security Industry Essentials (SIE) and Series 7 and Series 66. * Wants to establish a long-term career in the… more
- Bank of America (Chandler, AZ)
- Financial Solutions Advisor - Bilingual Spanish ( Series 7 required) Chandler, Arizona **Job Description:** **Position Description** Financial Solutions Advisors ... (FSAs) are phone-based licensed advisors ( Series 7 and 66 required) that provide clients with holistic financial advice and guidance by ident ifying broader… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …* SIE required provided that an exemption or grandfathering cannot be applied. * Series 7 and 63 licensing required. Must be able to be licensed ... other duties and responsibilities as assigned. * Hours will be 10 - 7 Eastern Time. **Knowledge, Skills, and Abilities:** **Knowledge of:** * Basic office practices,… more
- Bank of America (Lincoln, RI)
- National Financial Solutions Advisor I (Lincoln, RI) ( Series 7 Required) Lincoln, Rhode Island **Job Description:** At Bank of America, we're creating real, ... We always put our clients first to meet their evolving needs. **Required skills** + Series 7 , and 66 or equivalent (if not currently held, Series 66 must be… more
- Raymond James Financial, Inc. (TN)
- …* SIE required provided that an exemption or grandfathering cannot be applied. * Series 7 and 63 Licenses Required - Must be able to be ... Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA), Series 63_AG - Agent - Financial Industry Regulatory Authority (FINRA), … more
- Raymond James Financial, Inc. (FL)
- …+ SIE required provided that an exemption or grandfathering cannot be applied. + Series 7 and 63 licenses required. Must be licensed in All 50 ... Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA), Series 63_AG - Agent - Financial Industry Regulatory Authority (FINRA), … more
- PNC (Chicago, IL)
- …and 63 within 180 days of employment. DCM (Loan Syndications & Equipment Finance) - SIE, Series 79, Series 7 , and 63 within 120 days of employment. ... Derivatives - SIE, Series 7 and 63 within 120 days of employment. FIG - SIE, Series 7 and 63 within 120 days of employment. Fixed Income - SIE, Series… more
- PNC (Pittsburgh, PA)
- …and 63 within 180 days of employment. DCM (Loan Syndications & Equipment Finance) - SIE, Series 79, Series 7 , and 63 within 120 days of employment. ... Derivatives - SIE, Series 7 and 63 within 120 days of employment. FIG - SIE, Series 7 and 63 within 120 days of employment. Fixed Income - SIE, Series… more
- PNC (Chicago, IL)
- …and 63 within 180 days of employment. DCM (Loan Syndications & Equipment Finance) - SIE, Series 79, Series 7 , and 63 within 120 days of employment. ... Derivatives - SIE, Series 7 and 63 within 120 days of employment. FIG - SIE, Series 7 and 63 within 120 days of employment. Fixed Income - SIE, Series… more
- PNC (New York, NY)
- …Markets organization, you will be based in New York, NY. Finra licensed required: SIE, Series 7 and 63. Required within 120 days of hire. Preferences: Extensive ... within 180 days of employment. DCM (Loan Syndications & Equipment Finance) - SIE, Series 79, Series 7 , and 63 within 120 days of employment. Derivatives -… more
- Raymond James Financial, Inc. (Los Angeles, CA)
- …: * SIE required provided that an exemption or grandfathering cannot be applied. * Series 7 required. * Series 9 & 10 if required by ... business unit. * Series 63, 65 and/or 66 as required by state....Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA), Series 65 or Series 66_RA - Investment… more
- Bank of America (Newport Beach, CA)
- …client centric individual who has or is able to obtain the following in a specified timeframe: Series 7 (SIE, 7 Top-Off) AND Series 66 (or Series ... 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent licenses, and Series 3 or 31 license (If warranted). + SIE strongly preferred… more
- Bank of America (Farmington Hills, MI)
- …ensuring alignment with the bank's enterprise risk appetite **Required Qualifications:** + Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND ... Series 65), Series 9 AND Series 10 (or Series 8) or equivalent licenses + Series 3, 31 licenses, if warranted + Minimum of 5+ years professional… more
- Bank of America (Washington, DC)
- …compliance to industry regulations, and policies and procedures **Required Qualifications:** + Currently hold SIE, Series 7 AND Series 66 (or Series 63 ... AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent licenses and Series 3, 31 licenses, if warranted + Minimum of 5+ years… more
- Bank of America (White Plains, NY)
- …ensuring alignment with the bank's enterprise risk appetite **Required Qualifications:** + Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND ... Series 65), Series 9 AND Series 10 (or Series 8) or equivalent licenses + Series 3, 31 licenses, if warranted + Minimum of 5+ years professional… more
- Citigroup (San Antonio, TX)
- …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 experience,… more
- Raymond James Financial, Inc. (The Villages, FL)
- …**Licenses/Certifications** * SIE required provided that an exemption or grandfathering cannot be applied. * Series 7 and 9 & 10 (or 8) required. * Series ... Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA), Series 65 or Series 66_RA - Investment Adv Rep - Financial Industry Regulatory… more
- Bank of America (San Diego, CA)
- …ensuring alignment with the bank's enterprise risk appetite **Required Qualifications:** + Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND ... Series 65), Series 9 AND Series 10 (or Series 8) or equivalent licenses + Series 3, 31 licenses, if warranted + Minimum of 5+ years professional… more
- Bank of America (Atlanta, GA)
- …ensuring alignment with the bank's enterprise risk appetite **Required Qualifications:** + Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND ... Series 65), Series 9 AND Series 10 (or Series 8) or equivalent licenses + Series 3, 31 licenses, if warranted + Minimum of 5+ years professional… more
- PNC (Pittsburgh, PA)
- …at the Tower at PNC Plaza. **Job Description** + Licensing requirements: Capital Markets - FINRA Series 7 & 63. PNCI Operations - FINRA Series 99 required. ... PNCI Product - FINRA Series 7 required. In addition, a combination of the following...**Certifications** No Required Certification(s) **Licenses** Capital Markets - FINRA Series 7 & 63. PNCI Operations -… more
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