- Wells Fargo (Bee Cave, TX)
- …experience, education. + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 , 9/10, and 66 examinations (or FINRA ... the activities of representatives (eg, financial advisors) to ensure their compliance with FINRA and SEC rules and regulations, as well as federal and state laws… more
- Wells Fargo (Dallas, TX)
- …of the following: work experience, training, military experience, education + Successfully completed FINRA Series 7 and 63 exams to qualify for immediate ... registration (or FINRA recognized equivalents) **Desired Qualifications:** + 4+ years of...1445 Ross AVE DALLAS, TX 75202 **Posting End Date:** 7 Sep 2025 **_*Job posting may come down early… more
- Charles Schwab (Westlake, TX)
- …you have** **Required background and experience:** + Bachelor's Degree is required + Active and valid FINRA Series 7 + Active and valid FINRA Series 63 + ... Active and valid FINRA Series 8 (9/10) + 10+ years' experience in financial services focused on supervisory, risk, control, or compliance. + 10+ years' experience in managerial or executive positions, with increasing scope and complexity of responsibility.… more
- TIAA (Frisco, TX)
- …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
- Truist (Fort Worth, TX)
- …and attributes of annuity products. 5. FINRA SIE, Financial Industry Regulatory Authority ( FINRA ) Series 7 and Series 66 licenses (or 63 & 65 in lieu ... existing client, account, and product attributes that present sales potential. 7 . Provide operational guidance to Financial Advisors ranging from systems navigation… more
- PNC (TX)
- …service) may be considered. **Education** Bachelors **Certifications** No Required Certification(s) **Licenses** FINRA Series 7 and 66 (or 63,65) required. Life ... that will provide them with investment referral opportunities. Series 7 , 66 (or 63 AND 65) as well as...2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain… more
- US Bank (Houston, TX)
- …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
- Citigroup (San Antonio, TX)
- …Knowledge of Microsoft Office (Excel, Outlook, and Word) preferred + US Registered FINRA Series 7 & 63 Required. **Education:** + Bachelor's/University degree or ... including margin, options, and placing unsolicited securities trades (Series 7 & 63 required) as required + Ensures customer...customer claims and complaints are handled in accordance with FINRA and firm policy + Ensures that KYC/AML and… more
- JPMorgan Chase (Houston, TX)
- …+ Motivated and independent worker with a sense of urgency and results focused + FINRA 7 and 66 (or 63 & 65) required + Active Life & Health insurance license ... Preferred Qualifications, Skills and Capabilities: + Bachelor's degree strongly preferred or equivalent work experience JPMorganChase, one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses… more
- JPMorgan Chase (Plano, TX)
- …executing with urgency. **Required qualifications, capabilities, and skills:** + A valid and active FINRA Series 7 , 66 (or equivalent) is required + A valid and ... active FINRA Series 9/10 (or equivalent) is required + Proven track record leading a team of advisors + Proven ability to recruit, source and attract internal and… more