• Central Supervision Analyst

    TD Bank (Coral Gables, FL)
    …+ College degree or equivalent experience required. + 5+ years of Brokerage industry experience + FINRA Series 7 Required + FINRA Series 24 Required (or ... Wealth **Job Description:** The Central Supervision Analyst is a FINRA and SEC regulatory supervisory principal position with the...+ State Life & Health Insurance License (Preferred) + FINRA Series 65 or 66 (Preferred) + FINRA… more
    TD Bank (07/31/25)
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  • Investment Advisor

    Navy Federal Credit Union (Pensacola, FL)
    …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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  • Senior Regional Manager, Schwab Wealth Advisory

    Charles Schwab (Orlando, FL)
    …(may consider 24 month condition of employment) + Bachelor's Degree required + Active and valid FINRA Series 7 license required + Active and valid FINRA 66 ... license required (may consider a 120-day COE) + Active and valid FINRA 9/10 required (may consider a 120-day COE) + Five plus years' experience in the financial… more
    Charles Schwab (06/04/25)
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  • Wealth Management Associate with Future Leadership…

    Equitable (Tampa, FL)
    …and have a developed client base + Must be licensed: State Life and Health, SIE, FINRA Series 7 , 66, & 24 exams + Ability to draw upon past/present experiences ... Advisors' Virtual University + Columbia Holistic Financial Coach Program + Sponsorship for FINRA licensing + Working closely with top leadership thru 1:1 coaching +… more
    Equitable (05/21/25)
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  • Centralized Brokerage Client Service Associate…

    Truist (Tampa, FL)
    …attributes of annuity products. 5. FINRA SIE, Financial Industry Regulatory Authority ( FINRA ) Series 7 and Series 66 licenses. (candidates that only have the ... client, account, and product attributes that present sales potential. 7 . Provide operational guidance to Financial Advisors ranging from...Series 7 or Series 66 will be considered with the… more
    Truist (07/15/25)
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  • Wealth Regional Supervisor

    Truist (Jacksonville, FL)
    …may be made to enable individuals with disabilities to perform the essential functions. + FINRA Series 7 , 24, 53, and 66 licenses (Series 9&10 can be used ... also required. **Preferred Qualifications:** + Bachelor's degree in Finance or Business. + 7 or more years of regulatory, compliance or supervisory experience + … more
    Truist (08/02/25)
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  • Financial Advisor, Truist Investment Services

    Truist (Ocala, FL)
    …degree in Business, Accounting, Finance or Banking, or equivalent education and related experience. 2. FINRA Series 7 , 66 (63 and 65 in lieu of 66) licenses. 3. ... files are correctly completed and maintained to conform to regulatory policies. 7 . Remain knowledgeable of and familiar with all products currently offered by… more
    Truist (07/31/25)
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  • Registered Wealth Investment Services Associate…

    Citigroup (Jacksonville, FL)
    …+ Knowledge of Microsoft Office (Excel, Outlook, and Word) preferred. + US Registered FINRA Series 7 & 63 Required. In addition, Series 66/65 preferred. ... investment operations - including placing unsolicited securities trades (Series 7 & 63 required). + Ensures customer claims and...customer claims and complaints are handled in accordance with FINRA and firm policy. + Ensures that KYC/AML and… more
    Citigroup (07/19/25)
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  • Financial Consultant, Truist Investment Services

    Truist (Tampa, FL)
    …years professional experience, including 1 year of experience in the securities industry. 3. FINRA Series 7 and 66. 4. Applicable state health and life insurance ... by executing on opportunities identified through external networking and internal referrals. 7 . Adhere to professional and ethical standards set forth by Truist, the… more
    Truist (07/18/25)
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  • Wealth Regional Supervisor Specialist Team Leader

    Truist (Tampa, FL)
    …may be made to enable individuals with disabilities to perform the essential functions. + FINRA Series 7 , 24, 53 and 66 licenses (Series 9&10 can be used ... used in lieu of Series 66) Life/Health and Variable Insurance Licensing + 7 years related retail brokerage and/or investment advisory experience with an emphasis in… more
    Truist (07/08/25)
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