- Fidelity Investments (Rockville, MD)
- …We're Looking For Previous success in building relationships, uncovering needs and recommending solutions FINRA Series 7 & 63 licensed; Series 65 ... Criminal Histories. Certifications: Certified Financial Planner (R) / CFP-(R) - Issuing Authority, Series 07 - FINRA , Series 63 - FINRA , Series 65… more
- Fidelity Investments (Smithfield, RI)
- …and our career center. The Expertise and Skills You Bring Aptitude and dedication to complete the FINRA SIE (R), Series 7 Top Off and Series 63 exams ... (Registered Representative by studying for and obtaining your SIE(R), Series 7 , and 63 licenses, all fully...match, Concierge Services, and Wellness Program. (Learn More) Certifications: Series 07 - FINRA , Series … more
- Wedbush Securities (San Diego, CA)
- …duties and tasks as required and assigned Experience and Skills Bachelor's Degree from an accredited university FINRA Series 7 and 66 OR Series 7 and ... (Parental Bonding, Military, Jury Duty, Volunteer Time Off, Disability, etc.) FINRA License Sponsorship Travel & Employee Assistance and Employee Discount Programs… more
- Northwestern Mutual Life Insurance Company (Franklin, WI)
- …interacting with the field force. People management experience with proven leadership and decision-making skills. FINRA Series 7 and 24 are a must . This ... a Registered Representative under NMIS guidelines and requires fingerprinting. Series 24 - FINRA , Series 7 - FINRA Compensation Range: Pay Range -… more
- JPMorgan Chase & Co. (Laguna Niguel, CA)
- …high performing Advisor team Ability to travel 50% of the time A valid and active FINRA Series 7 , 66 (or equivalent) is required A valid and active FINRA ... Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made available through Chase Insurance Agency, Inc.… more
- Fidelity Investments (Boston, MA)
- …trading systems (ATS), exchange market microstructure, algorithmic trading, and direct market access (DMA) trends. FINRA Series 7 & Series 63 required; ... from hiring and/or associating with individuals with certain Criminal Histories. Certifications: Series 07 - FINRA , Series 57 - FINRA , Series … more
- US Bank (Buffalo Grove, IL)
- …to five years of experience in a financial sales position, preferably working with the affluent client segment FINRA Series 7 and 66 or, Series 7 and ... Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank… more
- Robinhood (Chicago, IL)
- …communications compliance review process and final approved marketing pieces What you bring: Bachelor's Degree FINRA Series 7 and 24, Series 4 is nice ... communications to ensure we meet our requirements under Firm policy, SEC rules, FINRA regulations and other regulatory agencies. The role is located in the office… more
- BTIG (New York, NY)
- …product knowledge, analytical skills, and comfort with market data tools (eg, Bloomberg, Intex). FINRA Series 7 and 63 licenses Self-starter mentality with a ... and supporting the growth of the broader platform. Requirements & Qualifications: Minimum 7 + years of experience in structured product sales. A track record of… more
- Charles Schwab Inc. (Morrisville, PA)
- …clients - this role is for you. What you have Required Qualifications: A valid and active FINRA Series 7 license required Obtaining or acquiring FINRA ... Series 66 (63/65) license and Life & Health Insurance as it will be required during your tenure on the job. Preferred Qualifications: Ability to build strong relationships, engage and encourage trust, and deepen the client relationship by applying a focused… more
- PNC Financial Services Group, Inc. (Mount Laurel, NJ)
- …military service) may be considered. Education Bachelors Certifications No Required Certification(s) Licenses FINRA Series 7 and 66 (or 63,65) required. Life ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history. California… more
- Truist (Charlottesville, VA)
- …environment, preferably focusing on outbound sales calls. 6. Financial Industry Regulatory Authority ( FINRA ) Series 7 and 66 licenses or actively pursuing ... appropriate signatures, submission and follow-up of new account documentation. 7 . Mitigate risk through appropriate authentication standards. This includes the… more
- Morgan Stanley (New York, NY)
- …accountability. Success working in a highly collaborative environment. Enthusiasm to travel as needed. FINRA Series 7 and 63 required. WHAT YOU CAN EXPECT ... than 40 years of history, a presence in twenty-four countries, and a total of $1. 7 trillion in assets under management as of December 31, 2024. MSIM strives to… more
- Cetera Financial Group, Inc. (Minnetonka, MN)
- …the career pathing program to future opportunities that require industry experience and licenses (Insurance, FINRA Series 7 , & 66 or 63/65 combo). What You ... Will Do: Act as a liaison between the registered representatives and their clients. Answer phones, schedule appointments, and prepare materials for client meetings. Aid registered representatives in preparing client illustrations, graphs, charts, reports, etc.… more
- Strategies for Wealth (New York, NY)
- …degree in business administration, finance, or other related field *Though not required, a valid FINRA Series 7 & 63/66 license is considered a plus *Basic ... your approach and strategies to improve performance. * Obtain FINRA License: Work toward obtaining your FINRA ...Obtain FINRA License: Work toward obtaining your FINRA license as part of your professional growth and… more
- Hantz Group (Maumee, OH)
- …Life, Flexible Spending Eligibility Requirements Vary *Required Licenses- FINRA Securities Industry Essentials, FINRA Series 7 , FINRA Series 66, ... State Life, Accident & Health, Variable Contracts, State Property & Casualty | HFSI will sponsor and pay for all required licensing on a loan basis. The Company does not discriminate in employment opportunities or practices on the basis of race, color,… more
- Hantz Group (Southfield, MI)
- …Life, Flexible Spending Eligibility Requirements Vary *Required Licenses- FINRA Securities Industry Essentials, FINRA Series 7 , FINRA Series 66, ... State Life, Accident & Health, Variable Contracts, State Property & Casualty | HFSI will sponsor and pay for all required licensing on a loan basis. The Company does not discriminate in employment opportunities or practices on the basis of race, color,… more
- Charles Schwab Inc. (Los Angeles, CA)
- …Angeles, CA Thousand Oaks, CA Pasadena, CA What you have Required Qualifications Active and valid FINRA Series 7 & 66 licenses 10 years of experience in ... business development and relationship management with a proven record of success 10 years of experience with wealth management - financial planning and investment planning Bachelor's degree Preferred Qualifications CFP(R) designation or MBA equivalent.… more
- Suncoast Credit Union (Cape Coral, FL)
- …CRPC, etc.) *Minimum of 5 years of financial planning, investment advisory, or wealth management experience * FINRA Series 7 and Series 66 (or 63 and 65), ... and Florida Health and Life with Variable Annuity insurance 2-15 required * FINRA Record (U4) with no unacceptable entries *Demonstrated rolling two-year average of… more
- KeyBank (Tarrytown, NY)
- …demonstrated sales and business development experience with proven results required Licenses and Certifications FINRA Series 7 and 66 (or 63 & 65) ... (preferred) Certified Financial Planner (CFP) (preferred) Certified Investment Management Analyst (CIMA) (preferred) Certified Public Accountant (CPA) (preferred) Chartered Financial Analyst (CFA) (preferred) Licensed Attorney/JD (varies by state) (preferred)… more
