• Branch Support Manager

    Wells Fargo (Los Angeles, CA)
    …training, military experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 or 7 and 66 ... (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration **Desired Qualifications:** + Series 9/10 or equivalent + 1+ years… more
    Wells Fargo (08/02/25)
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  • Market Support Manager

    Wells Fargo (San Diego, CA)
    …2+ years of leadership experience + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 , 9/10 and 63 exams or 7 , 9/10 ... (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration **Desired Qualifications:** + FINRA registration including Series 65… more
    Wells Fargo (07/23/25)
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  • Supervisory Control Manager

    Wells Fargo (Seal Beach, CA)
    …years of leadership experience + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 , 9, 10, 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:** + Strong client service skills… more
    Wells Fargo (07/26/25)
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  • Financial Consultant

    Wells Fargo (Seal Beach, CA)
    …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 registration **Desired Qualifications:** + Full-service brokerage experience + Financial… more
    Wells Fargo (07/30/25)
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  • Senior Registered Client Associate

    Wells Fargo (Pasadena, CA)
    …military experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 examinations (or FINRA ... environment **Job expectations:** + US only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position.… more
    Wells Fargo (08/01/25)
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  • Registered Client Associate

    Wells Fargo (San Jose, CA)
    …military experience, education + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 examinations (or FINRA ... environment **Job Expectations:** + US only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position.… more
    Wells Fargo (07/22/25)
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  • Client Service Associate Senior - Registered…

    City National Bank (Los Angeles, CA)
    …and securities market. * Minimum of 5 years of direct client services experience required * FINRA Series 7 and 63 or 66 licenses * FINRA Series 24: ... into the National Financial Services (NFSC) system in accordance with applicable FINRA regulations. * Work with CNB colleagues to process employee stock option… more
    City National Bank (05/17/25)
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  • Investment Advisor

    Navy Federal Credit Union (San Diego, CA)
    …and/or internal audits. + Perform other duties as assigned or appropriate Qualifications + FINRA Series 7 and combination of NASAA Series 63/65 or 66 ... account activity and execution in accordance with NFFG process and procedures and FINRA , NASAA, SEC regulations. + Conduct review of accounts to communicate account… more
    Navy Federal Credit Union (07/29/25)
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  • JP Morgan Wealth Management - Market Director…

    JPMorgan Chase (Laguna Niguel, CA)
    …performing Advisor team + Ability to travel 50% of the time + A valid and active FINRA Series 7 , 66 (or equivalent) is required + A valid and active FINRA ... Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made available through Chase Insurance Agency, Inc.… more
    JPMorgan Chase (07/18/25)
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  • Wealth Management Advisor

    US Bank (San Diego County, CA)
    …of experience in a financial sales position, preferably working with the affluent client segment + FINRA Series 7 and 66 or, Series 7 and 63/65 combination ... Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank… more
    US Bank (08/01/25)
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