- ADP (Louisville, KY)
- …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
- Raymond James Financial, Inc. (Savannah, GA)
- …state. **Education** Bachelor's (Required) **Work Experience** Manager Experience - 3 to 6 years **Certifications** s10 - General Securities Sales Supervisor - ... + Investment concepts, practices and procedures used in the securities industry. + Financial markets and products. + Human...that an exemption or grandfathering cannot be applied. + Series 7, 9 & 10 required. + Series… 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
- Raymond James Financial, Inc. (NJ)
- …or ability to 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: ... Bachelor's: Business Administration, Bachelor's: Finance **Work Experience** General Experience - 6 to 10 years **Certifications** Securities Industry Essentials… more
- Raymond James Financial, Inc. (VA)
- …Private Client Banking (PCB) products which includes Cash Solutions, Mortgage, Securities Based Lending (including Margin) and Tailored Lending. Responsible for PCB ... + Advanced principles, practices, concepts and procedures of cash solutions, securities based lending (including Margin), mortgages, and structured lending; banking… 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
- Thrivent Financial (Charlotte, NC)
- …Qualifications + Previous administrative/secretarial experience desired + Must be securities registered ( series 7 & 66 or 6 & 63). + Must be insurance ... Financial computer systems and programs in support of client relations, supports securities and insurance related tasks and other administrative tasks as assigned.… more
- Truist (Brentwood, TN)
- …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
- Raymond James Financial, Inc. (Memphis, TN)
- …(Required), Bachelor's: Finance (Required) **Work Experience** General Experience - 6 to 10 years **Certifications** Securities Industry Essentials ... + Investment concepts, practices and procedures used in the securities industry. + Principles of banking and finance and...that an exemption or grandfathering cannot be applied. + Series 7, 63 required (9/10 and/or 24 also required)… more
- Raymond James Financial, Inc. (Reston, VA)
- …and occasional personal visits. * Educates client on the functions of various securities markets and the principal factors that affect them. * Provides guidance on ... Fundamental investment concepts, practices and procedures used in the securities industry. * Economic and accounting principles and practices,...cannot be applied. * Certified Financial Planner required. * Series 7 required. * Series 63, 65… more
- Raymond James Financial, Inc. (Walnut Creek, CA)
- …High School (HS) (Required) **Work Experience** General Experience - 4 to 6 months **Certifications** Securities Industry Essentials Exam (SIE) - Financial ... Advanced investment concepts, practices and procedures used in the securities industry. + Financial markets, products and industry regulations....that an exemption or grandfathering cannot be applied. + Series 7 required. + Series 63, 65… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …ability to obtain within 120 days (as required by FINRA),_ **required** + _(Persons holding Series 6 , 7, 17, 37 or 38 or those who hold principal-level ... in a sponsorship role. + Principles of finance and securities industry operations. + Financial markets and products. +...registrations: Series 4, 9/10, 14, 16, 23, 24, 26, 27,… more
- Thrivent Financial (Lakewood, CA)
- … licensed, or insurance licensed. Depending on role, the associate must be: + Securities registered ( series 7 & 66 or 6 & 63) or be willing to do so within ... Financial is a faith-based, not-for-profit financial services organization with approximately 2. 6 million clients. As the nation's largest fraternal benefit society,… more
- Fifth Third Bank, NA (Chicago, IL)
- …as documented in the Fifth Third Securities Licensing Guidelines candidate with active Series 6 and 63 licenses preferred. + Two (2) years of brokerage or ... degree in Finance, Economics, or Business Management preferred. + Securities Industry Essentials (SIE), Series 7, 66 (or 65 and 63), appropriate state resident… more