- Raymond James Financial, Inc. (San Diego, CA)
- …Education High School (HS) (Required) Work Experience General Experience - 3 to 6 years Certifications s63 - Uniform Securities Agent State Law Examination ... methods. Investment concepts, practices and procedures used in the securities industry. Financial markets, products and industry regulations. Trading terminology.… more
- Wells Fargo (Philadelphia, PA)
- …and partners Desired Qualifications: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 6 and Series 63 examinations (or FINRA ... sales practices risk management culture Current registration for FINRA Series 6 and Series 63...For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite will be required… more
- Raymond James Financial, Inc. (Charlotte, NC)
- …methods. Investment concepts, practices and procedures used in the securities industry. Financial markets, products and industry regulations. Trading terminology. ... provided that an exemption or grandfathering cannot be applied. * Series 7 required. * Series 63, 65 and/or...66 as required by state. *Ability to obtain additional securities and advisory state registrations if required by state.… more
- Northwestern Mutual (New York, NY)
- …Life/Accident & Health Certifications, Securities Industry Essentials (SIE), and Series 6 , 7, and 63. Northwestern Mutual provides pre-payment/reimbursement* ... management Bonus programs and expense allowances Support for insurance licensing, Securities Industry Essentials(R), Series 6 , Series 7, Series … more
- Modern Woodmen of America (Los Angeles, CA)
- …or already hold: an active life insurance license, FINRA securities registration ( Securities Industry Essentials(R)/SIE), Series 6 and/or 7 license, and ... Series 63 license, as required by state). Ability to pass a background check that includes satisfactory regulatory, criminal and financial standing. Benefits and perks Paid medical and dental insurance. 401(k) retirement plan with company match.… more
- Atria Wealth Solutions (Vancouver, WA)
- …certification or graduate degree and/or an equivalent combination of education and experience. Series 7, 63/65 or 66 Securities Registration and Variable Life ... Extended Sick Time and 11 Paid Bank Holidays 401k Match- 100% match up to 6 % employee contribution Tuition Assistance And More! About The Role As an Advisor you'll… more
- Jackson National Life Insurance Company (Nashville, TN)
- …or investment wholesaling experience preferred. Securities Industry Essentials (SIE) required. FINRA Series 6 or 7, FINRA Series 63, State Insurance ... years sales experience in investments, mutual funds, insurance, or annuities required. 6 + months experience as a Senior Internal Wholesaler required for current… more
- Truist (Memphis, TN)
- …experience. 2. 4 years professional experience, including 1 year of experience in the securities industry. 3. FINRA Series 7 and 66. 4. Applicable state health ... Participate in the preparation for and delivery of client presentations and engagements. 6 . Assist the Advisor in developing and maintaining a profitable level of … more
- Truist (Germantown, TN)
- …from time to time. 1. Develop and maintain a profitable level of securities and insurance sales by executing on opportunities identified self-sourced prospecting as ... uncover and ensure unmet client financial needs are fulfilled. 6 . Conduct branch training sessions and investment product educational...Banking, or equivalent education and related experience. 2. FINRA Series 7, 66 (63 and 65 in lieu of… more
- Raymond James Financial, Inc. (Austin, TX)
- …Licenses/Certifications: *SIE required provided that an exemption or grandfathering cannot be applied. * Series 7 and Series 66 or the ability to obtain them ... *Life, Health and Variable Annuity or the ability to obtain within six ( 6 ) months from the start of the program. Education Bachelor's: Accounting, Bachelor's:… more
- ADP (Dallas, TX)
- …processes financial transactions, **_they are required to successfully obtain and maintain their series 6 and 63 FINRA securities licenses._** **Job ... opportunities with other business units as needed. **Job Requirements:** + FINRA Series 6 and 63 securities licenses and Securities Industry… more
- Access Dubuque (Dubuque, IA)
- …experience, CFP designation preferred and/or equivalent combination of education and experience. + Hold Series 6 & 63 securities licenses, with desire to ... sessions. + Complete all required continuing education to maintain securities and insurance licenses. + Perform other duties as...7 license within one year of employment. + Hold Series 66 license, or ability to acquire within 90… more
- Thrivent Financial (Crete, IL)
- …in a business or finance related field + Must have or be interested in attaining securities registration with SIE, Series 7 and Series 66 within 120 days ... which is a faith-based, not-for-profit financial services organization with approximately 2. 6 million members. Position Summary: Maar Financial Group is looking for… more
- TD Bank (New York, NY)
- …York, New York, United States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $100,000 - $120,000 USD TD is committed to providing fair ... can provide you more specific details for this role. **Job Description:** TD Securities Corporate and Investment Banking provides a full range of financial advisory… more
- Truist (New York, NY)
- …support and oversight for change activities (both business and regulatory change). 6 . Provide oversight and support for open risk, audit, and regulatory issues. ... of risk management experience in financial services or related field. 3. 6 + years of leadership experience. 4. Subject matter expertise in assigned/specified line… more
- HUB International (Mclean, VA)
- …including scheduling reviews, assembling reports, and driving deliverables from meeting. **Qualifications:** + Securities licenses Series 6 , 7, 63, 65, or 66 ... HUB International employee engagement content. + Participation in HUB Camp quarterly series . + Revenue generation by cross-selling and converting clients to retail.… more
- Aegon Asset Management (Denver, CO)
- …advisers. Qualifications + High School education or GED equivalent required. + Willing to obtain Series 6 /63 Securities Licenses within 6 months hire. + ... Willing to obtain resident state Life Insurance License within 6 months hire. + Resourceful and well organized. + Participate in proactive team efforts to achieve… more
- Manulife (Atlanta, GA)
- …experience, preferably in phone and/or sales type roles. + A commitment to attain the Securities Industry Essentials, Series 6 , 63 plus state insurance and ... variable licenses within 4 months of hire + Passion for growing a territory with a positive mindset + Excellent relationship building, communication, presentation and negotiation skills + Superior business acumen especially with retirement plan products and… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …industry marketing/advertising and skills obtained through education and experience in securities and/or the banking industry to ensure firm policies and procedures ... Abilities** **Knowledge of:** + Concepts, practices, and procedures of securities industry and/or banking compliance reviews. + Rules and...Bachelor's degree (BA /BS) and a minimum of six ( 6 ) years of experience in Compliance and/or the financial… more
- Truist (Tampa, FL)
- …anticipating the time frame required for presentation and answering of questions. 6 . Maximize sales opportunities by contacting potential investment clients based on ... degree or equivalent experience and related training. 2. Experience in the securities industry and/or a sales assistant role. 3. Knowledge of securities… more
