- Raymond James Financial, Inc. (Savannah, GA)
- …**Licenses/Certifications** + SIE required provided that an exemption or grandfathering cannot be applied. + Series 7, 9 & 10 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
- Citigroup (New York, NY)
- …US FINRA Registration: SIE; Series 7; Series 63 + Series 65 (or Series 66); Series 9 + Series 10 (or Series 24, Series 4, and ... Series 53) + Must meet ALL US FINRA Registration requirement within 150 days of hire date. + Required: Group 1 - Life and Variable Annuity License + Must meet ALL requirements within 150 days of hire date. **Education:** + Bachelor's/University degree,… more
- Bank of America (Miami, FL)
- …+ 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 experience + Proven ability to manage risk, make sound decisions by having a deep understanding of industry regulations, supervisory requirements, policies/procedures, wealth management… more
- Bank of America (Lake Oswego, OR)
- …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 professional experience **Key Qualifications for the role:** + Current or previous Merrill Wealth Management experience strongly preferred + Self-motivated and client centric + Expert knowledge of… more
- Bank of America (Pasadena, CA)
- …+ 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 experience + Proven ability to manage risk, make sound decisions by having a deep understanding of industry regulations, supervisory requirements, policies/procedures, wealth management… more
- Bank of America (San Diego, CA)
- …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 professional experience **Key Qualifications for the role:** + Current or previous Merrill Wealth Management experience strongly preferred + Self-motivated and client centric + Expert knowledge of… more
- Bank of America (Tulsa, OK)
- …+ 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 experience + Proven ability to manage risk, make sound decisions by having a deep understanding of industry regulations, supervisory requirements, policies/procedures, wealth management… more
- Citigroup (San Antonio, TX)
- …+ 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, potentially Masters degree **Job Family Group:** Risk Management **Job Family:** Business Risk & Control **Time Type:** **Primary Location:** San Antonio Texas United States **Primary Location Full Time Salary Range:**… more
- Bank of America (Northbrook, IL)
- …+ 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 experience + Proven ability to manage risk, make sound decisions by having a deep understanding of industry regulations, supervisory requirements, policies/procedures, wealth management… more
- Bank of America (San Francisco, CA)
- …to currently hold Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) equivalent licenses + ... Series 3, 31 licenses, if warranted + Minimum 5+ years professional experience required + Current or previous Merrill Wealth Management experience strongly preferred + Self-motivated and client centric + Expert knowledge of regulatory and supervisory… more
- Raymond James Financial, Inc. (Denver, CO)
- …regulations, and client suitability (all at a level consistent with the requirement of Series 9 , 10, and 24 licensing). * Familiarity/facility with RJ and its ... that an exemption or grandfathering cannot be applied. o Required to have a Series 7, 9 , 10 and 63 o Series 66 can be used instead of the 63 o Series 24… more
- Truist (Charlotte, NC)
- …to perform the essential functions. + FINRA Series 7, 24, 53, and 66 licenses ( Series 9 &10 can be used in lieu of 53. Series 63&65 can be used in lieu ... 7 or more years of regulatory, compliance or supervisory experience + FINRA Series 4 + Bilingual **General Description of Available Benefits for Eligible Employees… more
- Truist (Richmond, VA)
- …to perform the essential functions. + FINRA Series 7, 24, 53 and 66 licenses ( Series 9 &10 can be used in lieu of 53. Series 63&65 can be used in lieu ... Finance or Business. + Minimum 2 years of regulatory experience + FINRA Series 4 license **General Description of Available Benefits for Eligible Employees of Truist… more
- Raymond James Financial, Inc. (Denver, CO)
- … 7, 24 and 63, Series 66 can be used in lieu of the 63, o Series 9 and 10 can be used as an equivalent to the 24 * State Insurance License in which candidate ... and client suitability (all at a level consistent with the requirement of Series 24 licensing). Familiarity/facility with RJ and its systems is preferable. *… more
- Citigroup (Getzville, NY)
- …issues with transparency. **Qualifications:** + 2-5 years of relevant experience + Recommended licensing/registration: Series 7, Series 9 , Series 10, ... Series 63 + Consistently demonstrates clear and concise written and verbal communication skills **Education:** + Bachelor's Degree/University degree or equivalent experience This job description provides a high-level review of the types of work performed.… more
- Bank of America (Wayzata, MN)
- …managing and coaching a team + Series 7 & 66 (63 and 65) required and Series 9 & 10 or (4, 24, 53 combination).If Series 9 & 10 not currently ... held, must be obtained within 120 days. + Travel required: Will vary depending on geography **Shift:** 1st shift (United States of America) **Hours Per Week:** 40 Bank of America and its affiliates consider for employment and hire qualified candidates without… more
- Raymond James Financial, Inc. (Chicago, IL)
- …duties and responsibilities as assigned. May perform some Branch Manager duties if Series 9 & 10 licensed.** **Recruits, selects, orients, trains and supervises ... ** Series 7 and 66 (or 63 and 65) required.** **Ability to obtain Series 9 & 10 within six (6) months of hire.** **Ability to obtain additional securities and… more
- Raymond James Financial, Inc. (New York, NY)
- …a Series 7, 24 or willing to obtain within 120 days of employment o Series 9 and 10 can be used instead of the 24 * Additional licenses/certifications ... and/or training approved by Human Resources. **Licenses/Certifications:** * Appropriate series license(s) for assigned functional area required or the ability… more
- JPMorgan Chase (Jersey City, NJ)
- …or other Compliance function + FINRA General Securities licenses such as Series 7, Series 24, Series 9 or 10 considered JPMorganChase, one of the oldest ... financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world's most prominent corporate, institutional and government clients under the JP Morgan and Chase brands. Our history spans over 200… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …required provided that an exemption or grandfathering cannot be applied. + Required to have a Series 7, 9 , 10 and 63 + Series 24, 53 and 4 can be used ... instead of the 9 and 10 + Series 66 can be used instead of 63 more