- Edward Jones (Bakersfield, CA)
- …the Securities and Exchange Act of 1934, and conducts background reviews consistent with FINRA Rule 3110(e). A copy of a notice regarding the provisions of the Los ... at Edward Jones during the assigned study period + FINRA registrations are required within three months. State insurance...ongoing training offered by the firm and regulatory authorities FINRA and/or SEC Complete required CE training to ensure… more
- T. Rowe Price (San Francisco, CA)
- …Qualifications Required: + Bachelor's degree or equivalent combination of education and experience. + FINRA Series 7 and 66 (or ability to obtain within 3 months of ... environment. + Passion for staying current on economic and market trends. FINRA Requirements FINRA licenses are required and will be supported for this role.… more
- City National Bank (Los Angeles, CA)
- …reviews occur between client team and client. * For those colleagues with FINRA Licenses, review asset management and CNS Brokerage statements with clients. Partner ... financial services preferably with high net worth clients. * FINRA Series 7 and 63 and 65 or 66...JD/LLM, CIMA or Cannon Certified Wealth Strategist designation. * FINRA Series 7 and 63, and 65 or 66… more
- Coinbase (Sacramento, CA)
- …adopt additional features, services, and products. What we look for in you (ie. job requirements): * FINRA License series 7 and 63 * FINRA License 24 OR 9 AND 10 ... Wealth Management, Corporate Finance, Asset Management, FinTech or Crypto. Nice to haves: * FINRA License Series 3, 4, 65, or 66. * High level of proficiency in… more
- T. Rowe Price (San Francisco, CA)
- …of education and relevant experience AND + 8+ years of total relevant work experience + FINRA Series 6 and 63 + The ability to travel as required to meet with ... + Experience working directly with Retirement Plan Sponsors and their advisors/consultants FINRA Requirements FINRA licenses are required and will be supported… more
- Raymond James Financial, Inc. (Sacramento, CA)
- …+ **Series 99 required,** or **ability to obtain within 120 days** (as required by FINRA ). Persons holding Series 6, 7, 17, 37 or 38 or those who hold ... procedures + Compiles operational information for internal and external auditors (eg FINRA , SEC) with limited oversight + Plans and executes remediation efforts for… more
- City National Bank (West Hollywood, CA)
- …Bank Secrecy Act, Know Your Client, Community Reinvestment Act, Code of Conduct, FINRA , etc.). WHAT DO YOU NEED TO SUCCEED? *Required Qualifications** * Minimum 5 ... * Minimum 3 years experience in investment sales * FINRA Series 7 and 63 and 65 or 66...JD/LLM, CIMA or Cannon Certified Wealth Strategist designation. * FINRA Series 7 and 63 securities licenses and state… more
- Bank of America (Walnut Creek, CA)
- …and adapt to new information and technology platforms **Desired Qualifications:** + FINRA Securities Industry Essentials (SIE), Series 7, 63/65 or 66 + Industry ... history for the position: applicable regulation FDIC, Safe Act/Loan Originators and FINRA ._ **Shift:** 1st shift (United States of America) **Hours Per Week:** 37.5… more
- Wells Fargo (San Francisco, CA)
- …Market Street, San Francisco, CA 94105 This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a ... to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be… more
- Edward Jones (Sacramento, CA)
- …the Securities and Exchange Act of 1934, and conducts background reviews consistent with FINRA Rule 3110(e). A copy of a notice regarding the provisions of the Los ... + At least 3-5 years of relevant experience in securities industry preferred + FINRA licenses required within three months. State insurance licenses required + As an… more