- Equitable (Charlotte, NC)
- …**Qualifications** Required Qualifications: + BA/BS degree + FINRA Series 7 and Series 24 ... and corporate marketing teams. All reviews are based on FINRA , SEC, and state securities and insurance regulations, as...Series 6 and 26, or candidates with a Series 7 or Series 6 with a requirement to obtain… more
- Navy Federal Credit Union (Matthews, NC)
- …to generate GDC based on defined thresholds within a specified period of time + FINRA Series 7 and combination of NASAA Series 63/65 or 66 registration required. ... execution in accordance with NFFG process and procedures and FINRA , NASAA, SEC regulations + Conduct review of accounts...documentation and processes comply with Navy Federal standards and FINRA , NASAA, SEC and other regulatory agencies + Prepare… more
- Nuveen Investments (Charlotte, NC)
- …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
- Wells Fargo (Charlotte, NC)
- …of the following: work experience, training, military experience, education + Successfully completed FINRA Series 6 (or 7 ) exam to qualify for immediate ... Income Certified Professional (RICP) and Certified Retirement Counselor (CRC) Designation + FINRA registration including Series 63 or Series 66 (or FINRA … more
- Wells Fargo (Charlotte, NC)
- …of complex issues + Critical thinking and ability to develop and execute action plans + FINRA Series 7 or 24, or willingness to obtain within twelve months of ... for Visa sponsorship + This position is subject to FINRA Background Screening Requirements, including successful completion and clearing...240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that… more
- Wells Fargo (Charlotte, NC)
- …training, military experience, education + Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63(or 66) examinations (or ... FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration **Desired Qualifications:** + Ability to navigate multiple computer system… more
- Atria Wealth Solutions (Raleigh, NC)
- …+ Four-year degree in Business, Finance, or Insurance or equivalent work experience + FINRA series 7 , 63/65 (or 66) + NC Life, Long-term Care Insurance, ... Coastal Federal Credit Union and registered through CFS (Member FINRA /SIPC). To learn more about CUSO Financial Services, LP...CUSO Financial Services, LP visit www.cusonet.com . CFS (Member FINRA /SIPC) is a broker-dealer and RIA with a stable,… more
- Wells Fargo (Charlotte, NC)
- …of the following: work experience, training, military experience, education + Successfully completed FINRA Series 6 (or 7 ) exam to qualify for immediate ... communication and interpersonal skills with the ability to build advisor relationships + FINRA Series 63 or Series 66 + North Carolina State Insurance License +… more
- TIAA (Charlotte, NC)
- …Requirements** + University (Degree) Preferred **Work Experience** + 5+ Years Required; 7 + Years Preferred ** FINRA Registrations** + SRC Indicator: Series 6 ... or 7 ; Series 63 **Physical Requirements** + Physical Requirements: Sedentary Work **Career Level** 9IC Related Skills Accountability, Business Acumen, Business Development, Client Relationship Management, Commercial Mindset, Communication, Financial… more
- TIAA (Charlotte, NC)
- …Requirements** + University (Degree) Preferred **Work Experience** + 5+ Years Required; 7 + Years Preferred ** FINRA Registrations** + SRC Indicator: Series ... 7 ; Series 63; Series 65; Series 66; Series 24 **Physical Requirements** + Physical Requirements: Sedentary Work **Career Level** 9PL Related Skills Business Development, Capital Markets, Client Relationship Management, Client Segmentation, Collaboration,… more