- PNC (Cleveland, OH)
- …E. 9th Street location or the Tower at PNC Plaza. **Job Description** + Licensing requirements: FINRA Series 7 /66 (63/65). FINRA Series 24 (9/10). ... service) may be considered. **Education** Bachelors **Certifications** No Required Certification(s) **Licenses** FINRA Series 7 , 66 (or 63/65), 24 (or… more
- Ally (Tallahassee, FL)
- …* Work hours are: 7 :00-4:00, 8:00-5:00 or 9:00-6:00 EST **The Skills You Bring** * Knowledge: FINRA Series 7 & 63 or 66 licenses required. * 1-5 years of ... hire, candidates must be able to be registered with FINRA in all 52 states. * Directly responsible for...* Proven expertise in Microsoft Desktop Operations systems (Windows 7 , WindowsXP, Mac OS X). * Proven experience in… more
- Wells Fargo (St. Louis, MO)
- …military experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 (or FINRA recognized ... FINRA license(s) is required for ongoing employment in this position. FINRA Series 9/10 and 65 or 66 examinations or equivalent must be completed within… more
- Wells Fargo (Seattle, WA)
- …training, military experience, education + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 or 7 and ... **Desired Qualifications:** + 1+ years of leadership experience + Successfully completed FINRA Series 9/10 to qualify for immediate registration (or FINRA … more
- TD Bank (Marlton, NJ)
- …required + 5+ years of Brokerage industry experience + State Life & Health Insurance License + FINRA Series 7 + FINRA Series 24 + FINRA ... Business:** TD Wealth **Job Description:** The Principal Review Analyst II is a FINRA and SEC regulatory supervisory principal position with the Central Office of… more
- Wells Fargo (Salt Lake City, UT)
- …3+ years of management experience + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 , 9, 10, and 63 examinations (or ... FINRA license(s) is required for ongoing employment in this position. FINRA Series 66 (or 63 and 65) examinations, or equivalent must be completed within… more
- Wells Fargo (Dallas, TX)
- …Regulatory Authority ( FINRA ) license(s) is required for ongoing employment in this position. FINRA Series 7 and 66 examinations, or equivalent must be ... + Credit risk experience + Knowledge of traditional banking products + FINRA registration including Series 7 and 66 (or FINRA recognized equivalents)… more
- Wells Fargo (Doylestown, PA)
- …Regulatory Authority ( FINRA ) license(s) is required for ongoing employment in this position. FINRA Series 7 and 66 (or 63 and 65) examinations, or ... following: work experience, training, military experience, education **Desired Qualifications:** + FINRA registration including Series 7 and 66 (or FINRA … more
- Wells Fargo (Whittier, CA)
- …Regulatory Authority ( FINRA ) license(s) is required for ongoing employment in this position. FINRA Series 7 and 66 (or 63 and 65) examinations, or ... following: work experience, training, military experience, education **Desired Qualifications:** + FINRA registration including Series 7 and 66 (or FINRA … more
- Wells Fargo (New York, NY)
- …for transfer upon hire. FINRA recognized equivalents will be accepted. + Registration for FINRA Series 7 must be completed within 90 days of hire date ... upon hire. FINRA recognized equivalents will be accepted. + Registration for FINRA Series 63 (or 66) must be completed within 90 days of hire date if… more
- Wells Fargo (Anchorage, AK)
- …training, military experience, education + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 66 (or 63 and 65) ... examinations (or FINRA recognized equivalents) sufficient to qualify for immediate ...FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration **Desired Qualifications:** + Full-service brokerage experience +… more
- TD Bank (Greenville, SC)
- …customer complaints **Education & Experience:** + Bachelor's Degree preferred, 5+ industry experience + FINRA Series 7 , 24 and 66 (or equivalent) required + ... to achieve our strategic objectives for the Market(s). + FINRA designated Supervisor (via Delegation from WML) for Registered/Associated...time **OCC Language:** + This position is with a FINRA member, broker and/or dealer and is subject to… more
- Wells Fargo (Bellevue, WA)
- …training, military experience, education + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 66 (or 63 and 65) ... examinations (or FINRA recognized equivalents) sufficient to qualify for immediate ...FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration **Desired Qualifications:** + Brokerage client support experience… more
- Wells Fargo (Scottsdale, AZ)
- …training, military experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 66 (or 63 and 65) ... examinations (or FINRA recognized equivalents) sufficient to qualify for immediate ...FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration **Desired qualifications:** + Brokerage client support experience… more
- Wells Fargo (Nashville, TN)
- …of licensed banker experience + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 66 (63 and 65) examinations (or ... FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration **Desired Qualifications:** + Experienced Financial Advisors, with… more
- Wells Fargo (Portsmouth, NH)
- …military experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 examinations (or FINRA ... **Job Expectations:** + US Only: Obtain and/or maintain appropriate FINRA license(s) is required for ongoing employment in this...criminal background standards + Wells Fargo will initiate the FINRA licensing review process at the time of offer… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …**Licenses/Certifications** : * SIE required provided that an exemption or grandfathering cannot be applied. * FINRA Series 7 or FINRA Series 99, or ... by FINRA ), may be required depending on assigned functional area. * FINRA Series 27or ability to obtain within 90 - 120 days **Job:** Accounting & Finance… more
- Hantz Group (Traverse City, MI)
- …Must Have a Strong Work Ethic . Must be Able to Obtain Required Licenses (*) (*) Required Licenses- FINRA Series 7 (**) , FINRA Series 66 (**) , ... State Life, Accident & Health, Variable Contracts, State Property & Casualty (**) The FINRA Series 7 and Series 66 licenses generally must be obtained… more
- Insight Global (Salt Lake City, UT)
- …Insight Global's Workforce Privacy Policy: https://insightglobal.com/workforce-privacy-policy/ . Skills and Requirements * FINRA Series 7 license * FINRA ... Series 9 license * FINRA Series 10 license * 2+ years in financial services...years in financial services (preferably a large institution) * FINRA Series 4 license * Experience working… more
- M&T Bank (Pikesville, MD)
- … 63 licenses Pertinent state Life/Variable Insurance (LAH) licenses **Education and Experience Preferred:** FINRA Series 7 license FINRA Series ... experience, including a minimum of 3 years' previous sales, sales administration, or retail banking experience FINRA Series 6 or Series 7 and Series… more