- 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. **Education** Bachelor's (Required) **Work Experience** Manager Experience - 3 to 6 years **Certifications** s10 - General… more
- Raymond James Financial, Inc. (Memphis, TN)
- …(FINRA), Series 7_GS - Gen Sec Rep - Financial Industry Regulatory Authority (FINRA), Series 8 or Series 9 /10_SU - Gen Sec Sales Supervisor - Financial ... 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
- Bank of America (Melville, NY)
- …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 (Wellesley Hills, MA)
- …+ 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
- Bank of America (Atlanta, GA)
- …+ 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 (Chicago, 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
- Citigroup (San Antonio, TX)
- …+ Series 63 and Series 65 or Series 66; and + Series 8 or Series 9 and Series 10 or Series 24 **Education:** + Bachelor's/University ... degree or equivalent experience, potentially Masters degree **Job Family Group:** Risk Management **Job Family:** Business Risk & Control **Time Type:** **Primary Location:** San Antonio Texas United States **Primary Location Full Time Salary Range:**… more
- Wells Fargo (Davidson, NC)
- …to qualify for immediate FINRA registration. Series 24 is required if Series 9 and 10 examinations are not held. **Desired Qualifications:** + Currently ... FINRA license(s) is required for ongoing employment in this position. FINRA Series 9 and 10 examinations, or equivalent must be completed within 120 days.… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- … 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
- Truist (Richmond, VA)
- …in field of assigned business unit(s). + 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 of Series 66). **General Description of Available Benefits for Eligible Employees of Truist Financial Corporation:** All regular teammates (not temporary or… more
- Raymond James Financial, Inc. (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/or training approved by Human Resources. **Licenses/Certifications:** * Appropriate series license(s) for assigned functional area preferred or the ability… more
- Citigroup (O'Fallon, MO)
- …and time management skills + Demonstrated problem-solving and decision-making skills + Required Licensing/Registration: Series 7, Series 9 , Series 10, ... Series 63, **Education:** + Bachelor's degree/University degree or equivalent experience This job description provides a high-level review of the types of work performed. Other job-related duties may be assigned as required. This role will manage several… more
- Truist (Richmond, VA)
- …equivalent education and related training. + **FINRA Series 4, 7, 24, 53, and 66 licenses ( Series 9 &10 can be used in lieu of 53, Series 63 & 65 can be ... used in lieu of Series 66). Life/Health and Variable Insurance Licensing are strongly preferred + **6-8 + years related retail brokerage and/or investment advisory… more
- Citigroup (Tampa, FL)
- …+ Consistently demonstrated clear and concise written and verbal communication + Required Licensing/Registration: Series 7, Series 9 , Series 10, ... Series 63 **Education:** + Bachelor's degree/University degree or equivalent experience + Master's degree preferred - Build / Develop a high performing team - Implement oversight and supervisory tools and processes - Maintain high risk and control standards… more
- Bank of America (Orlando, FL)
- …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. (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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …be applied. * Required to have a Series 7 and 24 * Series 9 and 10 can be obtained instead of 24 * Additional licenses/certifications demonstrating the ... combination of experience, education, and/or training. **Licenses/Certifications** * Appropriate series license(s) for assigned functional area preferred or the… more
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