- Raymond James Financial, Inc. (Savannah, GA)
- …**Licenses/Certifications** + SIE required provided that an exemption or grandfathering cannot be applied. + Series 7, 9 & 10 required. + Series 63, 65 ... and/or 66 as required by state. + Ability to obtain additional securities and advisory state registrations if required by state. more
- Raymond James Financial, Inc. (Memphis, TN)
- …+ Develop a range of administrative processes and provide administrative support and data processing to allow for the efficient running of the business. + Manage ... budget plans for a department. May involve development or delivery or both. + Lead the review of existing operations and the implementation of innovation processes across the division or function to ensure the required continuous improvement outcomes are… more
- Wells Fargo (Mclean, VA)
- …equivalents) sufficient to qualify for immediate FINRA registration. **Desired Qualifications:** + Series 9 and 10 + Strong verbal, written, and interpersonal ... appropriate FINRA license(s) is required for ongoing employment in this position. FINRA Series 9 and 10 examinations or equivalent must be completed within a 120… more
- Citigroup (New York, NY)
- …US FINRA Registration: SIE; Series 7; Series 63 + Series 65 (or Series 66); Series 9 + Series 10 (or Series 24, Series 4, and ... Series 53) + Must meet ALL US FINRA Registration requirement within 150 days of hire date. + Required: Group 1 - Life and Variable Annuity License + Must meet ALL requirements within 150 days of hire date. **Education:** + Bachelor's/University degree,… more
- Bank of America (Newport Beach, CA)
- …+ Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent licenses + ... Series 3, 31 licenses, if warranted + Minimum of 5+ years professional experience + Proven ability to manage risk, make sound decisions by having a deep understanding of industry regulations, supervisory requirements, policies/procedures, wealth management… more
- Bank of America (Miami, FL)
- …+ Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent licenses + ... Series 3, 31 licenses, if warranted + Minimum of 5+ years professional experience + Proven ability to manage risk, make sound decisions by having a deep understanding of industry regulations, supervisory requirements, policies/procedures, wealth management… more
- Bank of America (Lake Oswego, OR)
- …Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent licenses and ... Series 3, 31 licenses, if warranted + Minimum of 5+ years professional experience **Key Qualifications for the role:** + Current or previous Merrill Wealth Management experience strongly preferred + Self-motivated and client centric + Expert knowledge of… more
- Bank of America (San Diego, CA)
- …Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent licenses and ... Series 3, 31 licenses, if warranted + Minimum of 5+ years professional experience **Key Qualifications for the role:** + Current or previous Merrill Wealth Management experience strongly preferred + Self-motivated and client centric + Expert knowledge of… more
- Bank of America (Tulsa, OK)
- …+ Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent licenses + ... Series 3, 31 licenses, if warranted + Minimum of 5+ years professional experience + Proven ability to manage risk, make sound decisions by having a deep understanding of industry regulations, supervisory requirements, policies/procedures, wealth management… more
- Bank of America (Northbrook, IL)
- …+ Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent licenses + ... Series 3, 31 licenses, if warranted + Minimum of 5+ years professional experience + Proven ability to manage risk, make sound decisions by having a deep understanding of industry regulations, supervisory requirements, policies/procedures, wealth management… more
- Bank of America (San Francisco, CA)
- …to currently hold Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) equivalent licenses + ... Series 3, 31 licenses, if warranted + Minimum 5+ years professional experience required + Current or previous Merrill Wealth Management experience strongly preferred + Self-motivated and client centric + Expert knowledge of regulatory and supervisory… more
- Raymond James Financial, Inc. (Denver, CO)
- …regulations, and client suitability (all at a level consistent with the requirement of Series 9 , 10, and 24 licensing). * Familiarity/facility with RJ and its ... that an exemption or grandfathering cannot be applied. o Required to have a Series 7, 9 , 10 and 63 o Series 66 can be used instead of the 63 o Series 24… more
- Truist (Richmond, VA)
- …to perform the essential functions. + FINRA Series 7, 24, 53, and 66 licenses ( Series 9 &10 can be used in lieu of 53. Series 63&65 can be used in lieu ... 7 or more years of regulatory, compliance or supervisory experience + FINRA Series 4 **General Description of Available Benefits for Eligible Employees of Truist… more
- Truist (Charlotte, NC)
- …to perform the essential functions. + FINRA Series 7, 24, 53, and 66 licenses ( Series 9 &10 can be used in lieu of 53. Series 63&65 can be used in lieu ... 7 or more years of regulatory, compliance or supervisory experience + FINRA Series 4 + Bilingual **General Description of Available Benefits for Eligible Employees… more
- Truist (Richmond, VA)
- …to perform the essential functions. + FINRA Series 7, 24, 53 and 66 licenses ( Series 9 &10 can be used in lieu of 53. Series 63&65 can be used in lieu ... Finance or Business. + Minimum 2 years of regulatory experience + FINRA Series 4 license **General Description of Available Benefits for Eligible Employees of Truist… more
- Raymond James Financial, Inc. (Denver, CO)
- … 7, 24 and 63, Series 66 can be used in lieu of the 63, o Series 9 and 10 can be used as an equivalent to the 24 * State Insurance License in which candidate ... and client suitability (all at a level consistent with the requirement of Series 24 licensing). Familiarity/facility with RJ and its systems is preferable. *… more
- Citigroup (Getzville, NY)
- …issues with transparency. **Qualifications:** + 2-5 years of relevant experience + Recommended licensing/registration: Series 7, Series 9 , Series 10, ... Series 63 + Consistently demonstrates clear and concise written and verbal communication skills **Education:** + Bachelor's Degree/University degree or equivalent experience This job description provides a high-level review of the types of work performed.… more
- Raymond James Financial, Inc. (Traverse City, MI)
- …duties and responsibilities as assigned. May perform some Branch Manager duties if Series 9 & 10 licensed.** **Recruits, selects, orients, trains and supervises ... ** Series 7 and 66 (or 63 and 65) required.** **Ability to obtain Series 9 & 10 within six (6) months of hire.** **Ability to obtain additional securities and… more
- Bank of America (Wayzata, MN)
- …managing and coaching a team + Series 7 & 66 (63 and 65) required and Series 9 & 10 or (4, 24, 53 combination).If Series 9 & 10 not currently ... held, must be obtained within 120 days. + Travel required: Will vary depending on geography **Shift:** 1st shift (United States of America) **Hours Per Week:** 40 Bank of America and its affiliates consider for employment and hire qualified candidates without… more
- Raymond James Financial, Inc. (New York, NY)
- …a Series 7, 24 or willing to obtain within 120 days of employment o Series 9 and 10 can be used instead of the 24 * Additional licenses/certifications ... and/or training approved by Human Resources. **Licenses/Certifications:** * Appropriate series license(s) for assigned functional area required or the ability… more
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