- Fidelity (Covington, KY)
- …to become a FINRA (Registered Representative by studying for and obtaining your SIE, Series 7 , and 63 licenses, all fully sponsored by Fidelity. This includes ... and Skills You Bring Aptitude and dedication to complete the FINRA SIE , Series 7 Top Off and Series 63 exams through our industry-leading licensing program.… more
- Usaa (Tampa, FL)
- …model. Experience with Virtual Technology and ability to deliver training remotely. Current FINRA Series 7 and/or attainment within 90 days of job entry. Current ... and/or attainment within 90 days of job entry. What sets you apart: Current FINRA Series 7 . Current FINRA Series 63 and/or attainment within 90 days of job… more
- HSBC (New York, NY)
- …Excellent organisation and time-management skills + The candidate must already hold active FINRA registrations: Series 7 , Series 57, and Series 63 As an ... HSBC employee, you will have access to tailored professional development opportunities to ensure you have the right skills for today and tomorrow. We offer a competitive pay and benefits package including a robust Wellness Hub, all in a welcoming and inclusive… more
- Charles Schwab (Vienna, VA)
- …CFP highly preferred Bachelor's degree highly preferred Required Qualifications Active & valid FINRA Series 7 license Active & valid FINRA Series 66 (63/65) ... license Active & valid Life & Health insurance 7 + years financial services industry experience 2+ years Ultra- HNW client experience Pursuant to SAFE Act… more
- Principal Financial Group (Nashville, TN)
- …Series 6 or equivalent and FINRA Series 63). Preference for FINRA Series 7 & 66. **Successful candidates will have the following:** + Excellent ... communication, presentation, analytical, and interpersonal skills. + Successful history of accomplishments in education, retirement sales, or a related field. + Ability to work both independently and collaboratively. **Salary Range Information** Salary ranges… more
- Larson Network Services, LLC (St. Louis, MO)
- …degree required, preferably in Finance, Business, Economics, or related field Ability to obtain Series 7 within 6 months of hire Proficient in Microsoft Excel, ... Ameritrade, Fidelity, or Schwab 2+ years of relevant Finance/Investment experience Series 7 and 66 license preferred. Any experience working with Orion/Eclipse… more
- Usaa (Phoenix, AZ)
- …maintenance or ability to acquire within 90 days of hire. Required maintenance of FINRA Series 7 license. Required maintenance of FINRA Series 66 (or 63 ... and 65) license. Must be able to successfully pass background check and meet all USAA and regulatory requirements. Additionally, applicant must have the ability to be licensed and registered in all required states and jurisdictions. 1 year of financial… more
- Usaa (Phoenix, AZ)
- …maintenance or ability to acquire within 90 days of hire. Required maintenance of FINRA Series 7 license. Required maintenance of FINRA Series 66 (or 63 ... and 65) license. Must be able to successfully pass background check and meet all USAA and regulatory requirements. Additionally, applicant must have the ability to be licensed and registered in all required states and jurisdictions. 4 years of financial… more
- Charles Schwab (Lexington, KY)
- …Schwab - Investor Services What you have Required Qualifications: A valid and active Series 7 license is required (license may be obtained under a condition ... of employment through Branch Network Licensing Program) A valid and active Series 66 (63/65) license required (license(s) may be obtained under a condition of… more
- Charles Schwab (Naples, FL)
- …role is for you. What you have Required Qualifications: A valid and active FINRA Series 7 license required Obtaining or acquiring FINRA Series 66 (63/65) ... license and Life & Health Insurance as it will be required during your tenure on the job. Preferred Qualifications: Ability to build strong relationships, engage and encourage trust, and deepen the client relationship by applying a focused client communication… more
- Charles Schwab (Brookfield, WI)
- …this could be the role for you. What you have Required Qualifications: A valid and active Series 7 license is required A valid and active Series 66 (63/65) ... license required (license(s) may be obtained under a condition of employment of 120 days) Preferred Qualifications: 3+ years of Financial Services Industry Experience Strong written and verbal communication skills Strong candidates will have a proven track… more
- Charles Schwab (Savannah, GA)
- …role is for you. What you have Required Qualifications: A valid and active FINRA Series 7 license required Obtaining or acquiring FINRA Series 66 (63/65) ... license and Life & Health Insurance as it will be required during your tenure on the job. Preferred Qualifications: Ability to build strong relationships, engage and encourage trust, and deepen the client relationship by applying a focused client communication… more
- Charles Schwab (Huntersville, NC)
- …role is for you. What you have Required Qualifications: A valid and active FINRA Series 7 license required?? Obtaining or acquiring FINRA Series 66 (63/65) ... license and Life & Health Insurance as it will be required during your tenure on the job.?? Preferred Qualifications: Ability to build strong relationships, engage and encourage trust, and deepen the client relationship by applying a focused client… more
- Charles Schwab (Asheville, NC)
- …role is for you. What you have Required Qualifications: A valid and active FINRA Series 7 license required Obtaining or acquiring FINRA Series 66 (63/65) ... license and Life & Health Insurance as it will be required during your tenure on the job. Preferred Qualifications: Ability to build strong relationships, engage and encourage trust, and deepen the client relationship by applying a focused client communication… more
- HSBC (Washington, DC)
- …of Anti Money Laundering practices and relevant regulatory governance in the US + Series 7 , 63, Life and Health insurance licenses required, may allow for ... contingency to obtain Series 7 and Life and Health As an HSBC employee, you will have access to tailored professional development opportunities to ensure you… more
- Ally (Raleigh, NC)
- …industry, including knowledge of SEC, FINRA, and banking regulations * Preferred licensing: Series 7 , Series 24, or equivalent regulatory certifications. * ... knowledge of changes in the regulatory landscape. **The Skills You Bring** * 7 + years of experience in fraud prevention within the financial services or investment… more
- Scotia Capital (USA), Inc. (New York, NY)
- …candidate experience, and accompanying qualifications. $225,000/yr & 40 hrs/wk. FINRA SIE req'd. FINRA Series 7 req'd. FINRA Series 63 req'd. xhqgsiq Pls ... apply directly thru by searching for Associate Director, Exotic Equity Derivatives Trader & indicate job code JK110425AD. JobiqoTJN. Keywords: Trader, Location: New York, NY - 10060 more
- Principal Financial Group (Houston, TX)
- …states in which business will be conducted. **Securities exams and IAR appointment include:** + Series 7 and 63 or equivalent, Series 24, 65 and/or 66 ... as required by applicable state law to become IAR with Principal Securities, Inc. + Refer to Principal Advisor Network Licensing/Exam Policy for the time frame allowed to obtain the required licenses, appointments and pass exams. **Salary Range Information**… more
- Principal Financial Group (Baltimore, MD)
- …capital markets, partnering with advisors). + FINRA licensing required including SIE or equivalent and series 7 + Series 63 required within 45 days + ... Advanced designations preferred (eg, CFP(R), CFA(R), CIMA(R), CAIA(R)) + Excellent knowledge of investment products and financial markets required + Strong interpersonal skills, consultative skills, advisor management expertise, and analytical analysis are… more
- Principal Financial Group (Des Moines, IA)
- …years of experience on a sales or service team marketing products and services + FINRA Series 6 or 7 and FINRA Series 63 or 66 required + FINRA Series 24 ... or 26 required within 90 days of employment. Must meet firm standards for registration within applicable jurisdictions + Ability to interpret and market all approved products and services offered in our product suite + Mentor, develop, influence, and motivate… more
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