- ADP (Florham Park, NJ)
- …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 Qualifications:** + FINRA Series 6 and 63 securities licenses and Securities Industry… more
- Raymond James Financial, Inc. (Memphis, TN)
- …office system. **Education** Bachelor's (Required) **Work Experience** General Experience - 6 to 10 years **Certifications** Securities Industry Essentials Exam ... (SIE) - Financial Industry Regulatory Authority (FINRA), Series 63_AG - Agent - Financial Industry Regulatory Authority...63_AG - Agent - Financial Industry Regulatory Authority (FINRA), Series 65 or Series 66_RA - Investment… 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. +...individual performance & company objectives and is targeted at 6 % of base compensation. This job description is not… more
- State of Minnesota (St. Paul, MN)
- …to a variety of audiences. **You must also possess the ability to obtain FINRA Securities Industry Essentials, Series 6 and 63 licenses AND a Minnesota ... providing customer service in a call center environment. Possession of FINRA Series 6 and 63 Licenses. Possession of the Minnesota Life, Accident, and Health… 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. (Los Angeles, CA)
- …state. **Education** Bachelor's (Required) **Work Experience** General Experience - 3 to 6 years **Certifications** Securities Industry Essentials Exam (SIE) - ... * 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 required. * Series 9 &… 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
- 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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …or grandfathering cannot be applied. + Series 7 required or willing to obtain within 6 months. + Series 63, 65 and/or 66 as required by state-OR- willing to ... (HS) (Required) **Work Experience** General Experience - 3 to 6 years **Certifications** Securities Industry Essentials Exam...Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA), Series 65 or Series 66_RA - Investment… more
- Raymond James Financial, Inc. (Richmond, VA)
- …by state. **Education** High School (HS) **Work Experience** General Experience - 6 to 10 years **Certifications** Securities Industry Essentials Exam (SIE) ... 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. (San Francisco, CA)
- …**Education** High School (HS) **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
- Thrivent Financial (West Bend, WI)
- …Qualifications + Securities or insurance industry experience preferred + Must be securities registered ( series 7/66 or 7/63/65 ). + Must be insurance ... 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
- Thrivent Financial (White Bear Lake, MN)
- …is a non-selling positing. Position Qualifications + Must be securities and insurance registered ( series 7 & 66 or 6 & 63 along with life, health insurance) ... relations, identifying and helping improve operational effectiveness and efficiency, supports securities and insurance related tasks and other misc. tasks as… more
- Atria Wealth Solutions (Vancouver, WA)
- …or graduate degree and/or an equivalent combination of education and experience. + Series 7, 63/65 or 66 Securities Registration and Variable Life and ... 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… more
- Truist (Orlando, 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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …grandfathering cannot be applied. Series 7 License, or ability to obtain within 6 months. We highly prefer candidates that have already obtained series 7 ... as needed on individual financial advisor deals. . Stay current with securities industry trends and regulations. . Engage legal support regularly to discuss… more
- Wells Fargo (Lake Jackson, TX)
- …partners **Desired Qualifications:** + Successfully completed Financial Industry Regulatory Authority (FINRA) Series 6 and Series 63 examinations (or FINRA ... 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