- Zions Bancorporation (Denver, CO)
- …+ Intermediate computer skills including word processing and spreadsheet software. + FINRA Series 79 (or grandfathered Series 7 ), Series 63 will ... but not limited to, level of experience, skills, expertise, location, education, FINRA licenses, and certifications. Benefits: + Medical & Dental Insurance &… more
- PNC (Pittsburgh, PA)
- …be located at the Tower at PNC Plaza. **Job Description** + Licensing requirements: Capital Markets - FINRA Series 7 & 63. PNCI Operations - FINRA ... Series 99 required. PNCI Product - FINRA Series 7 required. In addition, a combination of the following licenses will be required based on the incumbents… more
- Wells Fargo (Naperville, IL)
- …or leadership experience + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 , 9, 10, and 63 examinations (or ... FINRA license(s) is required for ongoing employment in this position. FINRA Series 9 and 10 examinations or equivalent must be completed within 120 days.… more
- Wells Fargo (Alexandria, VA)
- …+ 3+ years of management experience + Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 , 9/10, and 63 examinations (or FINRA ... FINRA license(s) is required for ongoing employment in this position. FINRA Series 65 or 66 examinations or equivalent must be completed within either a… more
- Wells Fargo (Greensboro, NC)
- …training, military experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 or 7 and ... **Desired Qualifications:** + 1+ years of leadership experience + Successfully completed FINRA Series 9/10 to qualify for immediate registration (or FINRA … 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 ... obtain within 120 days (as required by FINRA ), required (Persons holding Series 6, 7 , 17, 37 or 38 or those who hold principal-level registrations: Series… more
- Raymond James Financial, Inc. (New York, NY)
- …**Licenses/Certifications** + SIE required provided that an exemption or grandfathering cannot be applied. + FINRA Series 7 , Series 57 and Series ... Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority ( FINRA ), Series 57_TD - Securities Trader - Financial Industry… more
- Wells Fargo (Wayne, PA)
- …completed Securities Industry Essentials (SIE) exam or equivalent **Desired Qualifications:** + Successfully completed FINRA Series 7 and 66 (or 63 and 65) ... Authority ( FINRA ) license(s) is required for ongoing employment in this position. FINRA Series 7 and 66 (or 63 and 65) examinations, or equivalent must… more
- Wells Fargo (Charlotte, NC)
- …affecting the market. This position requires securities licensing, specifically Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 or 7 and ... military experience, education + Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63(or 66) examinations (or FINRA… more
- Wells Fargo (Philadelphia, PA)
- …military experience, education + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 66 examinations (or FINRA ... compliance or broker-dealer governance **Job Expectations:** + US only: Registration for FINRA Series 9/10 must be completed within a 90-day or 180-day time… more
- Wells Fargo (St. Louis, MO)
- …military experience, education. + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 , 9/10, and 63 examinations (or ... registration + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 66 examination (or FINRA recognized equivalents)… more
- Wells Fargo (Dublin, CA)
- …Regulatory Authority ( FINRA ) license(s) is required for ongoing employment in this position. FINRA Series 7 and 66 (or 63 and 65) examinations, or ... Securities Industry Essentials (SIE) exam or equivalent **Desired Qualifications:** + FINRA registration including Series 7 and 66 (or FINRA recognized… more
- Wells Fargo (Charleston, SC)
- …+ Knowledge of wealth management products and referral partnerships **Job Expectations:** + Registration for FINRA Series 7 & 66 must be completed within a ... following: work experience, training, military experience, education **Desired Qualifications:** + FINRA registration including Series 7 and 66 (or FINRA … 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 ... number of license(s) needed if not immediately available to transfer upon hire. FINRA recognized equivalents will be accepted. + For specific FINRA qualification… more
- Wells Fargo (Wilmington, NC)
- …military experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 , 9/10, and 66 examinations (or ... FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration **Desired Qualifications:** + 2+ years of financial...806 Green Valley Rd. Greensboro, NC **Posting End Date:** 7 May 2025 **_*Job posting may come down early… more
- The Walt Disney Company (Anaheim, CA)
- …Certification - Preferred State L&D Insurance License - Required FINRA 63 - Required FINRA Series 7 - Preferred FINRA Series 6 - Will Be ... lives but within your team and community. + A Series 7 and 66 or equivalent as...maintain capability to lead and inspect lower-level Branch positions. Securities/ FINRA licensing required. While reporting directly to the Branch… more
- Wells Fargo (Bellevue, WA)
- …military experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 , 9/10, and 66 examinations (or ... FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration **Desired Qualifications:** + 2+ years of financial services industry… more
- Wells Fargo (San Diego County, CA)
- …military experience, education. + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 , 9/10, and 66 examinations (or ... 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
- PNC (Cleveland, OH)
- …**Job Description** + Licensing requirements: FINRA Series 99; PNCI Supervision - FINRA Series 7 , 24 (or 9/10), 66 (or 63/65) + Participates in the ... Certification(s) **Licenses** FINRA Series 99; PNCI Supervision - FINRA Series 7 , 24 (or 9/10), 66 (or 63/65) **Benefits** PNC offers a comprehensive… more
- PNC (Plymouth, MI)
- …on changes in firm policy, procedure and the regulatory environment. This role requires the FINRA series 7 , 66 (or equivalent 63/65), 24 (or equivalent ... may not be available in all geographic locations. **Job Description** + Licensing requirements: FINRA series 7 , 66 (or equivalent 63/65). Series 24 (or… more