- Edward Jones (Irvine, CA)
- …the Securities and Exchange Act of 1934, and conducts background reviews consistent with FINRA Rule 3110(e). A copy of a notice regarding the provisions of the Los ... + High School Diploma/Equivalent required; Bachelor's degree preferred + Series 7 and Series 66 required, if not currently registered, registrations may… more
- Guardian Life (Sacramento, CA)
- …office inspections using risk-based testing methodologies to ensure compliance with FINRA Rule 3110 and, in certain circumstances, various state insurance laws. ... + Broad knowledge of the financial services industry and FINRA , SEC and State rules and regulations along with...+ Prior examination, auditing or testing experience. + Series 7 ; 24 licenses required or obtained within 120 days.… more
- Citigroup (Loma Linda, CA)
- …solver and a goal-oriented team player able to work without direction. + Required current US FINRA Registration: SIE, Series 6, 63, and 65 OR Series 7 and 66 or ... equivalent. + Must meet ALL US FINRA Registration requirements within 150 days of starting in the role. + Insurance Group 1 required. + Must meet ALL Insurance Group… more
- Atria Wealth Solutions (Dublin, CA)
- …3+ years of prior management experience, including sales coaching experience. + Series 7 , 63, 65 (or 66) Securities Registrations, and Life Insurance licenses are ... are employed by Patelco Credit Union and registered through CFS (Member FINRA /SIPC). To learn more about CUSO Financial Services, LP visit www.cusonet.com .… more
- Bank of America (San Francisco, CA)
- …Intelligence + Referral Identification + Written Communications **Required Qualifications:** + FINRA Securities Industry Essentials (SIE), Series 7 , 63/65 or ... of individuals with certain specified criminal history for the position: FDIC; FINRA **Minimum Education Requirement:** High School Diploma / GED / Secondary School… more
- Thrivent Financial (Lakewood, CA)
- …by the Financial Advisor. Thrivent Investment Management Inc. is the sponsor for FINRA registration and Thrivent Financial for Lutherans is the sponsor for insurance ... role, the associate must be: + Securities registered (series 7 & 66 or 6 & 63) or be...the process. Fingerprints will be required as part of FINRA registration process for submission to the Federal Bureau… more
- Thrivent Financial (Costa Mesa, CA)
- …your state insurance licenses (life, health & variable contracts), Series 7 and 66 registrations, and complete Thrivent's comprehensive advisor onboarding program. ... or equivalent experience. Military veterans are encouraged to apply. + Attainment of FINRA SIE, life and health licenses (licensed role only) before contracting. +… more
- Bank of America (San Francisco, CA)
- …receive dedicated and personalized classes for your Securities Industry Essentials [SIE], Series 7 and Series 66 Exams. Once you obtain your licenses, you will be ... Advisors in the centralized segment are phone-based licensed advisors (obtaining series 7 and 66 required) that provide clients with holistic financial advice and… more
- Bank of America (Sacramento, CA)
- …with certain specified criminal history for the position: FDIC; Safe Act; Loan Originators; FINRA . At Bank of America, we are guided by a common purpose to help ... personalized classes for your Securities Industry Essentials [SIE], Series 7 and Series 66 Exams. Once you obtain your...solutions. * Earn your Security Industry Essentials (SIE), Series 7 and Series 66 licenses (63 & 65 accepted,… more
- Bank of America (Yuba City, CA)
- …with certain specified criminal history for the position:FDIC, Safe Act/Loan Originators and FINRA . At Bank of America, we are guided by a common purpose to ... personalized classes for your Securities Industry Essentials [SIE], Series 7 and Series 66 Exams. Once you obtain your...solutions. * Earn your Security Industry Essentials (SIE), Series 7 and Series 66 licenses (63 & 65 accepted,… more