• Wealth Management Advisor - Aptos, California

    US Bank (Aptos, 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 (06/21/25)
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  • Bilingual (Mandarin) Wealth Advisor, Schwab Wealth…

    Charles Schwab (San Francisco, CA)
    …opportunity for you. **What you have** **Required Qualifications:** + Bachelor's degree + Active FINRA Series 7 license + _(May be obtained with a 120-day ... and current CFP(R) designation or CFA(R) designation holders, verified before hire)_ + Active FINRA Series 66 license + _(May be obtained within the first 120 days)_… more
    Charles Schwab (09/04/25)
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  • Wealth Management Advisor - Modesto, California

    US Bank (Patterson, CA)
    …in a financial sales position, preferably working with the affluent client segment - FINRA Series 7 , 63, 65 or 66 license, and applicable state insurance ... 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 (09/03/25)
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  • VP, Financial Consultant

    Charles Schwab (Torrance, CA)
    …role is for you. **What you have** + **Required Qualifications:** + A valid and active FINRA Series 7 license required + Obtaining or acquiring FINRA Series ... 66 (63/65) license and Life & Health Insurance as it will be required during your tenure on the job. **Preferred Qualifications:** + Ability to build strong relationships, engage and encourage trust, and deepen the client relationship by applying a focused… more
    Charles Schwab (08/30/25)
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  • Financial Advisor

    BMO Financial Group (Santa Monica, CA)
    …education and experience. + FINRA Series 6, 63 & 65 Licenses OR FINRA Series 7 & 66 licenses. + Life and Health Insurance Producer's License. + Completed LTC ... Continuing Education Requirements. + Strong working knowledge of financial industry. + In-depth experience working with managed products and providing fee-based advice. + In-depth understanding of deposit and loan (including mortgage) products and banking… more
    BMO Financial Group (08/14/25)
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  • Bilingual (Mandarin) Associate Wealth Advisor,…

    Charles Schwab (San Francisco, CA)
    …in Schwab Wealth Advisory. **What you have** **Required Qualifications** **:** + Active and valid FINRA Series 7 + Active and valid FINRA Series 66 (may ... be obtained with a 120-day COE) + 1-3 years of experience in the financial services industry + Bilingual proficiency in English and Mandarin is required **Preferred Qualifications** **:** + Experience servicing high net worth clients + Bachelor's Degree **In… more
    Charles Schwab (08/13/25)
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  • Associate Wealth Management Advisor: Rancho Palos…

    US Bank (Rancho Palos Verdes, CA)
    …industry related experience in a financial sales or wealth position - Will need FINRA Series 7 , 65 or 66 and state insurance licenses. Preferred ... 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 (08/08/25)
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  • Lead Client Services Officer

    City National Bank (Los Angeles, CA)
    …a Broker Dealer * 5 or more years of management and/or supervisory experience * FINRA Series 7 , 66, and 24 *Additional Qualifications* * Bachelor's degree in ... tolerance, time horizon, financial status, and other investment needs in compliance with FINRA regulations and CNS policies and procedures. * Comply with and conform… more
    City National Bank (08/07/25)
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  • Investment Banking Associate - Industrials…

    MUFG (Los Angeles, CA)
    …with S&P Capital IQ, Pitchbook, Salesforce CRM and online data room platforms + FINRA Series 7 , 63 or 79 license **Compensation & Benefits:** The typical ... the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities… more
    MUFG (08/02/25)
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  • Intrepid - Investment Banking Managing Director…

    MUFG (Los Angeles, CA)
    …environment + Proactive attitude accustomed to taking initiative and solving problems + FINRA Series 7 , 63 or 79 license **Compensation & Benefits:** The ... the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities… more
    MUFG (06/23/25)
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