- KeyBank (Fife, WA)
- …Pacific Highway E - Fife, Washington 98424-2678 **Job Summary** Within the Key Investment Services business, this individual is responsible for assisting the Key ... Investment Services Sales Force in achieving sales goals, customer...brokerage or financial services (required) **Licenses and Certifications** + FINRA License S7 within 120 Days (required) + … more
- Citigroup (Jacksonville, FL)
- …services. + Knowledge of Microsoft Office (Excel, Outlook, and Word) preferred. + US Registered FINRA Series 7 & 63 Required. In addition, Series 66/65 preferred ... The Intermediate Associate Telesales Representative is a Client Service and...Know-Your-Customer (KYC) and Anti-Money Laundering (AML) procedures for Citi's Investment and/or Banking clients. Position is responsible for providing… more
- JPMorgan Chase (Burr Ridge, IL)
- …offered through JP Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made available ... to meet their financial needs. As a Private Client Investment Associate in JP Morgan Wealth Management,...120 day condition of employment + If you were registered after October 1, 2018 you must also have… more
- Wells Fargo (Birmingham, MI)
- **About this role:** Wells Fargo is seeking a Registered Client Associate in Wealth and Investment Management as part of Wells Fargo Advisors. Learn more ... + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 examinations (or FINRA...( FINRA ) Series 7 and 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate … more
- Wells Fargo (Danbury, CT)
- **About this role:** Wells Fargo is seeking a Registered Client Associate in Wealth and Investment Management as part of Wells Fargo Advisors. Learn more ... + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 examinations (or FINRA...( FINRA ) Series 7 and 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate … more
- T. Rowe Price (San Francisco, CA)
- …competitor updates, product trends, advisor preferences for both private and registered investment structures. Requirements Required: + Prior experience in ... verbal, and delivering presentations + Experience with the US investment distribution landscape including Broker/Dealers, Registered Investments Advisors,… more
- Citigroup (San Antonio, TX)
- …clients via our Citibank branch-based advisors and centralized service centers. The registered CPWM Citigold Private Client Servicing Associate will be ... and services, including consumer banking and credit, corporate and investment banking, securities brokerage, and wealth management. Citi Personal...issues will be owned end to end by the associate and will be treated with a closed loop… more
- PNC (Erie, PA)
- …one of PNC Bank's Northeast PA offices (Warren, Sharon, or Meadville, PA) As an Investment Advisor I ( Investment Associate ), you will provide support for the ... and placing trades. The ideal candidate will have some investment experience (ex. insurance associate or brokerage...the Federal Deposit Insurance Act (FDIA) and, for any registered role, the Secure and Fair Enforcement for Mortgage… more
- Edward Jones (Irvine, CA)
- …are opportunities for merit-based salary increases as you progress in the Registered Branch Associate role. **Hiring Minimum:** $33.73 **Hiring Maximum:** $40.06 ... close early due to the volume of applicants. Our Registered Branch Associates are an essential part of the...Act of 1934, and conducts background reviews consistent with FINRA Rule 3110(e). A copy of a notice regarding… more
- Bank of America (Fairhope, AL)
- Registered Wealth Management Client Associate Fairhope, Alabama **To proceed with your application, you must be at least 18 years of age.** Acknowledge Refer a ... must be at least 18 years of age.** Acknowledge (https://ghr.wd1.myworkdayjobs.com/Lateral-US/job/Fairhope/ Registered -Wealth-Management-Client- Associate \_25037406) **Job Description:** _Merrill Wealth Management is… more
- Truist (Rockville, MD)
- …Financial Advisors in servicing clients including preparing financial plans, conducting investment research and completing client trades and transactions. 2. Receive ... of questions. 6. Maximize sales opportunities by contacting potential investment clients based on internal and bank leads. Use...of the features and attributes of annuity products. 5. FINRA SIE, Financial Industry Regulatory Authority ( FINRA )… more
- Navy Federal Credit Union (Pensacola, FL)
- …relationships; determine client needs, overcome objections and/or transfer to appropriate registered staff or designated area + Independently and proactively make ... with unsolicited trades + Assist in training and onboarding new Qualifications + FINRA Series 7, combination of NASAA Series63/65 65 or 66 registration and state… more
- Wells Fargo (New York, NY)
- …to statutory disqualification are not eligible to be associated with a FINRA - registered broker-dealer. Successful candidates must also meet and comply with ... **Corporate & Investment Bank (CIB)** delivers a comprehensive suite of...this role:** Wells Fargo is seeking an Equity Research, Associate - Metals, Mining and Building Materials. Learn more… more
- TD Bank (Springfield, MA)
- …requirements of FINRA and Securities Laws. May (or may not) be a registered position under FINRA . + Must be eligible for employment under standards ... this role. **Line of Business:** TD Wealth **Job Description:** The Financial Advisor Associate (FAA) works with TD Wealth prospects and clients to attract and… more
- TIAA (Charlotte, NC)
- …join our coalition of champions. This is a Financial Industry Regulatory Authority ( FINRA ) Registered role that is primarily responsible for taking inbound ... for retirement plans, after-tax investments, insurance products, payment flexibility, investment choices and overall retirement, and financial education. But this… more
- Citigroup (O'Fallon, MO)
- …services + Knowledge of Microsoft Office (Excel, Outlook, and Word) preferred + US Registered FINRA Series 7 & 63 Required. In addition, Series 66/65 preferred. ... Know-Your-Customer (KYC) and Anti-Money Laundering (AML) procedures for Citi's Investment and/or Banking clients. The Beneficiary Services Representative takes… more
- Foresters Financial Services (Westbury, NY)
- …and institutions-based advisors the benefits of a large, established broker-dealer and registered investment adviser, while serving advisors and institutions in ... Sales Support Associate Sales Westbury, New York Apply Description What...award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support… more
- Thrivent Financial (Medina, OH)
- …and the resources we provide to the Lutheran community and nonprofit organizations. Thrivent Investment Management Inc. is a FINRA and SIPC member and a wholly ... Associate reports to and is employed/contracted by the financial representative. Thrivent Investment Management Inc. is the sponsor for FINRA registration and… more
- Raymond James Financial, Inc. (Memphis, TN)
- …regulations of FINRA , SEC, state and jurisdiction regulatory agencies. + Investment concepts, practices and procedures used in the financial services industry. + ... Prepares and submits required documents for terminating the registration/association of registered and non- registered fingerprint associates in accordance with… more
- PNC (Irvine, CA)
- …have an opportunity to contribute to the company's success. As a Portfolio Associate - PNC Institutional Asset Management (IAM) organization, you will be based in ... performed remotely, at the manager's discretion. As a Portfolio Associate at PNC, you will play a key role...the West Region. This position provides critical support for investment and sales professionals responsible for PNC's Institutional Asset… more