- Wells Fargo (San Francisco, CA)
- …Advisors/Wealth Advisors + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 (or FINRA recognized equivalents) ... FINRA license(s) is required for ongoing employment in this position. FINRA Series 7 or equivalent must be completed within a 90-day time period following… more
- Wells Fargo (Woodland Hills, CA)
- …the following: work experience, training, military experience, education + Successfully completed FINRA Series 7 exam to qualify for immediate registration (or ... within Wealth Market Growth Strategy functional area **Required Qualifications:** + 7 + years of Wealth Market Growth Strategy experience, or equivalent demonstrated… more
- Wells Fargo (Corte Madera, 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:** + 1+ years of leadership experience +… more
- Wells Fargo (Beverly Hills, 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
- JPMorgan Chase (San Diego, CA)
- …deliver bespoke solutions and exceptional client service. + The Securities Industry Essential (SIE) exam, FINRA Series 7 , and FINRA Series 66 (or 63 and 65) ... are minimum requirements. All unlicensed applicants must obtain their licenses through JPMC's licensing program within 150 days of hire, with study materials and support provided. **Preferred qualifications, capabilities, and skills** + Hold a college degree… more
- City National Bank (Los Angeles, CA)
- …5 years of investment related experience * Minimum 3 years experience in investment sales * FINRA Series 7 and 63 and 65 or 66 * California Insurance License ... possess CFP, JD/LLM, CIMA or Cannon Certified Wealth Strategist designation. * FINRA Series 7 and 63 securities licenses and state insurance license required. *… more
- Nuveen Investments (San Francisco, CA)
- …Requirements** + University (Degree) Preferred **Work Experience** + 5+ Years Required; 7 + Years Preferred ** FINRA Registrations** + SRC Indicator: Series ... years of experience in the asset management industry **Preferred:** + Minimum of 7 years experience in the CLO and/or structured credit industry + Bachelor's degree… more
- T. Rowe Price (San Francisco, CA)
- …experience AND 5+ years of total relevant work experience. + This role requires the FINRA Series 7 and Series 66 licenses. Licenses may be obtained within first ... and communication skills + High attention to detail and documentation process FINRA Requirements FINRA licenses are required and will be supported for this role.… more
- US Bank (Irvine, CA)
- …experience - Five or years of experience in the financial services industry - Active FINRA Series 7 , 24, 53, 63 and 65/66 licenses and state insurance licenses ... Managers, and Central Supervision - to ensure adherence to FINRA , SEC, MSRB, OCC, and internal supervisory policies and...positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the… more
- TIAA (Pasadena, CA)
- …Requirements** + University (Degree) Preferred **Work Experience** + 5+ Years Required; 7 + Years Preferred ** FINRA Registrations** + SRC Indicator: Series ... 7 ; Series 63; Series 65; Series 66 **Licenses and Certifications** + Life and Health Insurance License (Resident State) - Multiple Issuers required **Physical Requirements** + Physical Requirements: Sedentary Work **Career Level** 9IC Related Skills… more