- Everence (Goshen, IN)
- …and production targets in collaboration with the Praxis sales team.Study and pass Series 6 , 63, SIE exams (required within 12 months of employment).Other ... for the position of National Sales Consultant, with relevant securities licensure to be achieved within six to twelve...of dynamic systems for outreach and educationLicense(s): Eligible for Series 6 and 63 licenses required within… more
- WSFS Bank (Greenville, DE)
- …with portfolio management, financial planning and custodial platformsMust have FINRA Series 65 license or equivalentCFP or ChFC or advanced certifications ... understanding and application of custodian platforms and investment principles, securities processing and clearing; portfolio and client management systemsMust have… more
- JPMorgan Chase (Columbus, OH)
- …+ Educate clients about JPMorgan products and valueadd resources. + Work towards and obtain a Series 6 & 63 securities licenses and pass the SIE exam. ... skills + Relationship building and problem solving skills + Attention to detail + Obtain Series 6 & 63 securities licenses and pass SIE Exam within 90 days… more
- Nuveen Investments (Charlotte, NC)
- …Preferred **Work Experience** + 3+ Years Required; 5+ Years Preferred **FINRA Registrations** + SRC Indicator: Series 6 or 7; Series 63; Series 26 or 24 ... industry, working for an investment adviser or broker-dealer. + Series 6 or 7; Series ...industry, working for an investment adviser or broker-dealer. + Series 7 and Series 24 securities… more
- ADP (El Paso, TX)
- …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 /63/7 securities licenses and Securities Industry Essentials +… more
- Truist (Salt Lake City, UT)
- …industry knowledge 19. Effective presentation skills **Preferred Qualifications:** 1. Life License and Securities registration ( Series 6 & 63 minimum) along ... or exceeding quota. 5. Presents, conducts and organizes seminars for agents 6 . Demonstrates technical selling skills and product knowledge in areas of life,… 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
- Wright-Patt Credit Union Inc. (Beavercreek, OH)
- … Series 7 securities license is required. + FINRA Series 66 securities license is required within 6 months of employment into this position. + Life, ... products insurance licenses in all states in which doing business desired within 6 months of employment into this position. + Demonstrated ability to learn and… more
- Thrivent Financial (Coeur D'Alene, ID)
- …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)
- …uses extensive knowledge and skills obtained through education and experience in securities and/or the banking industry to ensure firm policies and procedures are ... a complex environment. * Concepts, practices, and procedures of securities industry and/or banking compliance reviews. * Rules and...in a related discipline and a minimum of six ( 6 ) years of experience in Compliance and/or the financial… more
- Raymond James Financial, Inc. (Pittsburgh, PA)
- …uses extensive knowledge and skills obtained through education and experience in securities and/or the banking industry to ensure firm policies and procedures are ... Abilities** **Knowledge of** * Concepts, practices and procedures of securities industry and/or banking compliance reviews. * Rules and...in a related discipline and a minimum of six ( 6 ) years of experience in Compliance and/or the financial… 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
- Fifth Third Bank, NA (Effingham, 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
- Truist (Coral Gables, FL)
- …of annuity products. 6 . FINRA SIE, Financial Industry Regulatory Authority (FINRA) Series 7 and Series 66 licenses. Candidates with only the Series ... anticipating the time frame required for presentation and answering of questions. 6 . Maximize sales opportunities by contacting potential investment clients based on… more
- Truist (Charlotte, NC)
- …2. Three or more years of Financial Services Experience 3. Knowledge of securities markets and brokerage accounts. 4. Knowledge of the features and attributes of ... products. 5. FINRA SIE, Financial Industry Regulatory Authority (FINRA) Series 7 and Series 66 licenses. Candidates...66 and can obtain the additional license during employment. 6 . Exceptional telephone skills and the ability to appropriately… more
- Thrivent Financial (Dallas, TX)
- …within a Fortune 500 company sounds intriguing. Job Qualifications: + Currently hold Securities Series 7 license + Positive, Energetic & Results-Driven + ... them. And since you currently hold at least your Series 7 securities license , you'll quickly...care about your health) + 401(k) matching up to 6 % & a pension plan (we also care about… more
- City National Bank (Houston, TX)
- …control on the team. + Complete special projects as requested. **Qualifications** + FINRA Series 7 and 66 securities or ability to obtain **Must-Have + Master's ... Degree MBA and/or CFA, received or underway + Minimum 6 years of experience in Investment Management + FINRA Series 7 and 66 securities or ability to obtain… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …cannot be applied. * Series 7 License, or ability to obtain within 6 months. We highly prefer candidates that have already obtained series 7 license. ... as needed on individual financial advisor deals. * Stay current with securities industry trends and regulations. * Engage legal support regularly to discuss… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …or certification to detect possible rules violations to ensure adherence to securities industry regulations and limit firm liability. Lead and support associates ... practices, procedures, and methods. * Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state… more
- Wells Fargo (Arvada, CO)
- …+ Experience recommending financial services products and services + Successfully completed FINRA Series 6 and 63 exams (or recognized FINRA equivalents) to ... 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
