- First National Bank of Omaha (Frisco, TX)
- …experience. + 3 years of experience in the investment or financial services industry. + FINRA Series 7 and 66 (or Series 63 & 65) registrations. + State ... the community. + **Compliance & Ethics:** Uphold bank policies, laws, and FINRA /SEC regulations, ensuring compliance with the bank's BSA/AML Program as it applies… more
- Truist (Dallas, TX)
- …management in the Wealth Brokerage/Advisory industry. 3. Financial Industry Regulatory Authority ( FINRA ) series 7 , 66 (or 63/65), 24, plus applicable Life ... on new technologies, products, and trends. **Grow and Integrate the Business:** 7 . Support Advisors in execution of our partnership initiatives and dispositioning… more
- Truist (Houston, TX)
- …2. 5- 7 years or more of banking experience in portfolio-oriented roles 3. FINRA : Series 7 , Series 66, Life, Health, and Variable insurance licenses and SAFE ... with the relationship teams and deliver Legal Specialty Group value proposition. 7 . Document all client interactions via CRM system. 8. Establish consistent… more
- JPMorgan Chase (Fort Worth, TX)
- …of MS Office, Word, Excel, and PowerPoint. + Frequent travel is required. + FINRA Series 7 , 63 **Preferred qualifications, capabilities and skills** + CFA, CAIA ... manager, we oversee nearly $200 Billion in alternative assets and manage over $1. 7 Trillion in assets for wealth managers worldwide. Our deep experience and scale… more
- Truist (Austin, TX)
- …5. Detail-oriented and able to work independently while managing multiple priorities. 6. FINRA Series 7 , 66, 24, and Life, Health and Variable insurance ... regions. 6. Ownership of risk mitigation actions and activities in assigned regions 7 . Point of contact for field, sales managers and business partners with regard… more
- TIAA (Frisco, TX)
- …set associates up for success. You can even receive funding, coaching and support to pass FINRA Series 6 or 7 and 63 certification exams if you are not currently ... of champions. This is a Financial Industry Regulatory Authority ( FINRA ) Registered role that is primarily responsible for taking...FINRA Registrations** + SRC Indicator: Series 6 or 7 ; Series 63 **Licenses and Certifications** + Life and… more
- Charles Schwab (The Woodlands, TX)
- …is for you. **What you have** **Required Qualifications:** + A valid and active FINRA Series 7 license required + Obtaining or acquiringFINRA Series 66 (63/65) ... license and Life & Health Insurance as it will be required during your tenure on the job. **Preferred Qualifications:** + Ability to build strong relationships, engage and encourage trust, and deepen the client relationship by applying a focused client… more
- City National Bank (Houston, TX)
- …Qualifications* * Completion of or pursuit of CFA designation, MBA or both. * FINRA Series 7 : General Securities Rep * Excellent knowledge in the following ... areas: asset management, banking/credit, personal trust, and brokerage services. * Excellent analytical and financial analysis skills. * Strong computer skills with knowledge in basic software programs like Word, Excel, Power Point, etc. * Strong… more
- Charles Schwab (Houston, TX)
- …Schwab. **What you have** **Required Qualifications** + Bachelor's degree + Active and valid FINRA Series 7 & 66 (license(s) may be obtained under a condition ... of employment) + 10 years of experience in business development and relationship management with a proven record of success + 10 years of experience with wealth management - financial planning and investment planning **Preferred Qualifications** + CFP(R)… more
- Zions Bancorporation (Houston, TX)
- …+ A combination of education and experience may meet the requirements. + Required licensing, FINRA Series 7 & 66 (65/63), life and health insurance. + A CFP(R) ... certification is highly preferred. + Exhibit proficiency in using computers and relevant software. + Display excellent verbal and written communication abilities. + Showcase exceptional analytical and presentation skills. + Experience with financial planning… more
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