- KeyBank (Denver, CO)
- **Location:** 3410 E 1st Avenue, Denver Colorado **Job Summary** Within the Key Investment Services business, this individual is responsible for assisting the Key ... Investment Services Sales Force in achieving sales goals, customer...brokerage or financial services (required) **Licenses and Certifications** + FINRA License S7 within 120 Days (required) + … more
- Citigroup (Jacksonville, FL)
- …services. + Knowledge of Microsoft Office (Excel, Outlook, and Word) preferred. + US Registered FINRA Series 7 & 63 Required. In addition, Series 66/65 preferred ... The Intermediate Associate Telesales Representative is a Client Service and...Know-Your-Customer (KYC) and Anti-Money Laundering (AML) procedures for Citi's Investment and/or Banking clients. Position is responsible for providing… more
- Santander US (Boston, MA)
- Associate , Investment Supervision Country: United States of America **Your Journey Starts Here:** Santander is a global leader and innovator in the financial ... to Talk to You!** **The Difference You Make:** The Associate , Investment Supervision key purpose is to...evaluate, and document trades for suitability in accordance with FINRA rules and industry regulations. Will reviews new accounts,… more
- Wells Fargo (Denver, CO)
- **About this role:** Wells Fargo is seeking a Registered Client Associate in Wealth and Investment Management as part of Wells Fargo Advisors. Learn more ... to statutory disqualification are not eligible to be associated with a FINRA - registered broker-dealer. Successful candidates must also meet and comply with… more
- Wells Fargo (Greenville, NC)
- **About this role:** Wells Fargo is seeking a Registered Client Associate in Wealth and Investment Management as part of Wells Fargo Advisors. Learn more ... to statutory disqualification are not eligible to be associated with a FINRA - registered broker-dealer. Successful candidates must also meet and comply with… more
- Wells Fargo (Danbury, CT)
- **About this role:** Wells Fargo is seeking a Registered Client Associate in Wealth and Investment Management as part of Wells Fargo Advisors. Learn more ... + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 examinations (or FINRA...( FINRA ) Series 7 and 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate … more
- JPMorgan Chase (Brooklyn, NY)
- …offered through JP Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made available ... to meet their financial needs. As a Private Client Investment Associate in JP Morgan Wealth Management,...120 day condition of employment + If you were registered after October 1, 2018 you must also have… more
- Edward Jones (Loveland, CO)
- …are opportunities for merit-based salary increases as you progress in the Registered Branch Associate role. **Hiring Minimum:** $30.82 **Hiring Maximum:** $32.75 ... close early due to the volume of applicants. Our Registered Branch Associates are an essential part of the...resolving a wide variety of issues related to personalized investment solutions, involving the financial advisor when appropriate +… more
- Bank of America (New York, NY)
- Registered Wealth Management Client Associate New York, New York **To proceed with your application, you must be at least 18 years of age.** Acknowledge Refer a ... must be at least 18 years of age.** Acknowledge (https://ghr.wd1.myworkdayjobs.com/Lateral-US/job/New-York/ Registered -Wealth-Management-Client- Associate \_25045578) **Job Description:** Merrill Wealth Management is… more
- Truist (Rockville, MD)
- …Financial Advisors in servicing clients including preparing financial plans, conducting investment research and completing client trades and transactions. 2. Receive ... of questions. 6. Maximize sales opportunities by contacting potential investment clients based on internal and bank leads. Use...of the features and attributes of annuity products. 5. FINRA SIE, Financial Industry Regulatory Authority ( FINRA )… more
- Bank of America (El Segundo, CA)
- Registered Wealth Management Client Associate El Segundo, California **To proceed with your application, you must be at least 18 years of age.** Acknowledge ... must be at least 18 years of age.** Acknowledge (https://ghr.wd1.myworkdayjobs.com/Lateral-US/job/El-Segundo/ Registered -Wealth-Management-Client- Associate \_25045290) **Job Description:** Merrill Wealth Management is… more
- T. Rowe Price (Baltimore, MD)
- …competitor updates, product trends, advisor preferences for both private and registered investment structures. Qualifications Required: + Prior experience in ... verbal, and delivering presentations + Experience with the US investment distribution landscape including Broker/Dealers, Registered Investments Advisors,… more
- Wells Fargo (New York, NY)
- …Sales & Trading. **About this role:** Wells Fargo is seeking an Equity Research, Associate - Real Estate Investment Trust (REIT). Learn more about the career ... **Corporate & Investment Bank (CIB)** delivers a comprehensive suite of...disqualification are not eligible to be associated with a FINRA - registered broker-dealer. Successful candidates must also meet… more
- PNC (Erie, PA)
- …one of PNC Bank's Northeast PA offices (Warren, Sharon, or Meadville, PA) As an Investment Advisor I ( Investment Associate ), you will provide support for the ... and placing trades. The ideal candidate will have some investment experience (ex. insurance associate or brokerage...the Federal Deposit Insurance Act (FDIA) and, for any registered role, the Secure and Fair Enforcement for Mortgage… more
- Wells Fargo (Los Angeles, CA)
- …Fargo is seeking an Associate Bank Financial Advisor (LO) in Wealth and Investment Management as part of Wells Fargo Advisors. Learn more about the career areas ... to statutory disqualification are not eligible to be associated with a FINRA - registered broker-dealer. Successful candidates must also meet and comply with… more
- TIAA (Charlotte, NC)
- …join our coalition of champions. This is a Financial Industry Regulatory Authority ( FINRA ) Registered role that is primarily responsible for taking inbound ... for retirement plans, after-tax investments, insurance products, payment flexibility, investment choices and overall retirement, and financial education. But this… more
- Citigroup (O'Fallon, MO)
- …services + Knowledge of Microsoft Office (Excel, Outlook, and Word) preferred + US Registered FINRA Series 7 & 63 Required. In addition, Series 66/65 preferred ... Know-Your-Customer (KYC) and Anti-Money Laundering (AML) procedures for Citi's Investment and/or Banking clients. The Beneficiary Services Representative takes… more
- Vanguard (Charlotte, NC)
- …licenses within the specified period of time. Additionally, if you are not currently registered with FINRA in any capacity, prior to moving into this licensed ... credit and criminal check requirement does not apply to crew who are currently registered with FINRA . Special Factors Sponsorship Vanguard is not offering visa… more
- Foresters Financial Services (Silver Spring, MD)
- …and institutions-based advisors the benefits of a large, established broker-dealer and registered investment adviser, while serving advisors and institutions in ... Sales Support Associate Sales Silver Spring , Maryland Apply Description...award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support… more
- Edward Jones (Belmont, CA)
- …of applicants. **If you're looking for a challenging and rewarding career** , the Associate Financial Advisor role at Edward Jones may be the right opportunity for ... you. With the same licensing as our Financial Advisors, Associate Financial Advisors work with an established Financial Advisor...of the way, providing:** + Paid training - Get registered and licensed and learn how to be an… more