- Atria Wealth Solutions (Corning, NY)
- …counties, Pennsylvania, as well as their immediate family members. This role requires a FINRA series 7 licensed candidate who possesses the drive and passion to ... Security, Education planning, Retirement planning, etc.) Required Qualifications: + Active Series 7 , 63/65 (or 66) licenses along with Life, Accident & Health… more
- T. Rowe Price (New York, NY)
- …combination of education and relevant experience AND + 8+ years of total relevant work experience + FINRA Series 7 AND 63/65, OR Series 7 AND 66 Preferred: + ... sophisticated communication skills + CAIS, CIMA, CFP or CFA designation(s) FINRA Requirements FINRA licenses are required and will be supported for this role.… more
- Nuveen Investments (New York, NY)
- …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
- Raymond James Financial, Inc. (New York, NY)
- …of experience, education, and/or training approved by Human Resources. **Licenses/Certifications** + FINRA Series 7 and 9/10 or 24 expected. + Additional ... and Responsibilities** + Executes the risk-based branch exam program in FINRA -registered and non-registered Private Client Group branches across the country. +… more
- CIBC (New York, NY)
- …examiner, or within internal audit a plus + Professional licenses and certifications desired (SIE, FINRA Series 7 , CCOS or IACCP a plus) + Working knowledge of ... Derivatives, Investment Banking, Commodities and brokerage operations. + Solid understanding of FINRA , SEC and NYSE rules and regulations + Knowledge of federally… more
- JPMorgan Chase (Brooklyn, NY)
- …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
- TIAA (New York, NY)
- …Requirements** + University (Degree) Preferred **Work Experience** + 5+ Years Required; 7 + Years Preferred ** FINRA Registrations** + SRC Indicator: Series 65 ... 5+ years working directly with wealth management clients **Preferred Qualifications:** + 7 + years working directly with wealth management clients + CFA, CFP… more
- BankOnBuffalo (Buffalo, NY)
- …post-retirement, education funding, and financial planning. CFP or similar professional designation preferred. FINRA Series 7 and 63 licenses plus Series 65 or ... any business issues. + Adhere to the complexity of FINRA guidelines and bank compliance. + Establish additional processes...or equivalent combination of education and/or experience. Minimum of 7 years' experience in Wealth Management or a related… more
- Santander US (Staten Island, NY)
- …a superior record of sales achievement while maintaining high ethical standards. + Licenses/Certifications: FINRA licenses 7 and 66, or 7 and 63 and ... required professional training and license requirements, including knowledge of FINRA compliance, FDIC compliance, the Bank's uninsured Products Policy Statement… more
- US Bank (New York, NY)
- …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