- Equitable (Wellesley, MA)
- …roles **Preferred Qualifications** + CLU, ChFC and/or CFP a big plus + FINRA Series 4 registration is encouraged + Strong professional work history in ... manage and work in the office a minimum of 4 days per week. This is not a remote...401(k) plan. **Qualifications** **Required Qualifications** + Bachelor's degree + FINRA Series 7, 24, 53, and 66… more
- Citizens (Boston, MA)
- …This individual must have the appropriate FINRA registrations, including but not limited to: Series 4 , Series 7, Series 24, Series 63, ... incident management and investigation. Qualifications: + FINRA licenses requires - Series 7, 4 , 24, 63, 65 (or 66). + Bachelors degree preferred + 10+ years… more
- Truist (Brooksville, FL)
- …4 years professional experience, including 1 year of experience in the securities industry. 3. FINRA Series 7 and 66. 4 . Applicable state health and life ... clients with trades, requests for information, research, account problems, etc. 4 . Provide client relationship management support, including ongoing counsel and… more
- Bank of America (New York, NY)
- …changes in regulatory rules. + Oversee, develop, maintain and enforce the supervisory program + FINRA series 7, 63, 57, 4 & 24 licensed **Shift:** 1st ... activity. **Position Description:** + Understanding of US Equity Regulations, particularly SEC, FINRA , CFTC + Coordinate with IT to create and enhance supervisory… more
- UMB Bank (Kansas City, MO)
- …work experience + You demonstrate a high level of financial services industry knowledge + You possess FINRA Series 7, 24, 66, 4 as well as Life & Health ... Insurance **Compensation Range:** $57,760.00 - $124,170.00 _The posted compensation range on this listing represents UMB's standard for this role, but the actual compensation may vary by geographic location, experience level, and other job-related factors. In… more
- Wells Fargo (Naperville, IL)
- …appropriate FINRA license(s) is required for ongoing employment in this position. FINRA Series 9 and 10 examinations or equivalent must be completed within ... the following: work experience, training, military experience, education + 4 + years of management or leadership experience + US...120 days. FINRA Series 66 (or 63 and 65)… more
- Wells Fargo (Greenville, SC)
- …private banking + Experience recommending financial services products and services + Successfully completed FINRA Series 6 and 63 exams (or recognized FINRA ... outlined in the job expectations below **Required Qualifications:** + 4 + years of customer service experience, or equivalent demonstrated...sales practices risk management culture + Current registration for FINRA Series 6 and Series … more
- Wells Fargo (Alexandria, VA)
- …appropriate FINRA license(s) is required for ongoing employment in this position. FINRA Series 65 or 66 examinations or equivalent must be completed within ... management experience + Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7, 9/10, and 63 examinations...Cincinnati, OH 45236; 1600 Highway 35, Oakhurst, NJ 07755; 4 Tower Place, 9th Floor, Albany, NY 12203; 208… more
- US Bank (Bridgeton, MO)
- … registrations to meet defined referral client and wealth management introductions. Position requires the FINRA SIE, Series 6 (or Series 7) and Series ... 2, Client Relationship Consultant 3, and Client Relationship Consultant 4 , Premier Client Relationship Consultant 4 and...or a combination of experience and commensurate training - FINRA Securities Industry Essentials (SIE), Series 6,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …_(Persons holding Series 6, 7, 17, 37 or 38 or those who hold principal-level registrations: Series 4 , 9/10, 14, 16, 23, 24, 26, 27, 28, 51, and 53 would be ... 99) without passing the examination.)_ + _Ability to obtain Series 7 License or other FINRA Licenses...to obtain Series 7 License or other FINRA Licenses (as required)._ **Education** Bachelor's: Finance, High School… more
- Wells Fargo (Greensboro, NC)
- …**Desired Qualifications:** + 1+ years of leadership experience + Successfully completed FINRA Series 9/10 to qualify for immediate registration (or ... practices and coach on operational risk **Required Qualifications:** + 4 + years of Financial Services Industry experience, or equivalent...license(s) is required for ongoing employment in this position. FINRA Series 65 or 66 examinations or… more
- Wells Fargo (St. Louis, MO)
- …experience, education. + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7, 9/10, and 63 examinations (or FINRA ... registration + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 66 examination (or FINRA recognized equivalents)… more
- Raymond James Financial, Inc. (NJ)
- …+ SIE required provided that an exemption or grandfathering cannot be applied. + FINRA Series 7 and the ability to obtain within ninety (90) days. ... ability to obtain within 120 days (as required by FINRA ), required (Persons holding Series 6, 7,...37 or 38 or those who hold principal-level registrations: Series 4 , 9/10, 14, 16, 23, 24,… more
- Wells Fargo (Minneapolis, MN)
- … 7 and 24 (or FINRA recognized equivalents) **Job Expectations:** + Registration for FINRA Series 7 & 24 must be completed within a 90 or 180-day time ... of the following: work experience, training, military experience, education + 4 + years of management or leadership experience **Desired Qualifications:** +… more
- US Bank (Minneapolis, MN)
- …We are now hiring for an exciting opportunity as Quantitative Model Analyst 4 within US Bancorp's Enterprise Fraud Strategy team. The successful candidate will play ... of various regression techniques, parametric and non-parametric algorithms, times series techniques, and other statistical models, various model validation… more
- Wells Fargo (San Diego County, CA)
- …experience, education. + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7, 9/10, and 66 examinations (or FINRA ... the activities of representatives (eg, financial advisors) to ensure their compliance with FINRA and SEC rules and regulations, as well as federal and state laws… more
- Raymond James Financial, Inc. (St. Simons Island, GA)
- …Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority ( FINRA ), Series 63_AG - Agent - Financial Industry Regulatory ... 66 or the ability to obtain them within four ( 4 ) months from the start of the program. +...Authority ( FINRA ), Series 65 or Series ...Authority ( FINRA ), Series 65 or Series 66_RA - Investment… more
- Raymond James Financial, Inc. (Bluffton, SC)
- …Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority ( FINRA ), Series 63_AG - Agent - Financial Industry Regulatory ... 66 or the ability to obtain them within four ( 4 ) months from the start of the program. *...Authority ( FINRA ), Series 65 or Series ...Authority ( FINRA ), Series 65 or Series 66_RA - Investment… more
- Raymond James Financial, Inc. (Medina, OH)
- …Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority ( FINRA ), Series 63_AG - Agent - Financial Industry Regulatory ... Authority ( FINRA ), Series 65 or Series 66_RA - Investment Adv Rep - Financial Industry Regulatory Authority ( FINRA ), Series 7_GS - Gen Sec Rep -… more
- Raymond James Financial, Inc. (Cranberry Township, PA)
- …Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority ( FINRA ), Series 63_AG - Agent - Financial Industry Regulatory ... College or university preferred, and a minimum of four ( 4 ) years working experience, including sales (preferably intangible) or...Authority ( FINRA ), Series 65 or Series … more