- Principal Financial Group (Los Angeles, CA)
- …+ Successful Registration as an Investment Company Products/Variable contracts Limited Representative ( FINRA Series 6 or equivalent and FINRA Series 63). + ... Resident Life and Health appointment must be attained. **Salary Range Information** Salary ranges below reflect targeted base salaries. Non-sales positions have the opportunity to participate in a bonus program. Sales positions are eligible for sales… more
- JPMorgan Chase (Irvine, CA)
- …deliver bespoke solutions and exceptional client service. + The Securities Industry Essential (SIE) exam, FINRA Series 7, and FINRA Series 66 (or 63 and 65) are ... minimum requirements. All unlicensed applicants must obtain their licenses through JPMC's licensing program within 150 days of hire, with study materials and support provided. **Preferred qualifications, capabilities, and skills** + Hold a college degree or… more
- Wells Fargo (Los Angeles, CA)
- …Francisco, Los Angeles): $175,000 Yearly This position may be 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
- BMO Financial Group (Santa Monica, CA)
- …degree in related field of study or an equivalent combination of education and experience. + FINRA Series 6, 63 & 65 Licenses OR FINRA Series 7 & 66 licenses. ... + Life and Health Insurance Producer's License. + Completed LTC Continuing Education Requirements. + Strong working knowledge of financial industry. + In-depth experience working with managed products and providing fee-based advice. + In-depth understanding of… more
- MUFG (Los Angeles, CA)
- …by Intrepid Investment Bankers LLC, a subsidiary of MUFG Union Bank. Member FINRA /SIPC. The above statements are intended to describe the general nature and level ... the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities… more
- Atria Wealth Solutions (Dublin, CA)
- …are employed by Patelco Credit Union and registered through CFS (Member FINRA /SIPC). To learn more about CUSO Financial Services, LP visit www.cusonet.com . ... CFS (Member FINRA /SIPC) is a registered broker-dealer and SEC Registered Investment Advisor with a stable, 25-year track record of serving the investment needs of… more
- US Bank (Walnut Creek, CA)
- …financial planning technology platforms - Proven ability to build and maintain relationships - FINRA Series 7 & 63, or willingness to obtain If there's anything we ... 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
- Charles Schwab (San Francisco, CA)
- …in Schwab Wealth Advisory. **What you have** **Required Qualifications** **:** + Active and valid FINRA Series 7 + Active and valid FINRA Series 66 (may be ... obtained with a 120-day COE) + 1-3 years of experience in the financial services industry + Bilingual proficiency in English and Mandarin is required **Preferred Qualifications** **:** + Experience servicing high net worth clients + Bachelor's Degree **In… more
- Bank of America (San Francisco, CA)
- …Intelligence + Referral Identification + Written Communications **Required Qualifications:** + FINRA Securities Industry Essentials (SIE), Series 7, 63/65 or 66 + ... of individuals with certain specified criminal history for the position: FDIC; FINRA **Minimum Education Requirement:** High School Diploma / GED / Secondary School… more
- US Bank (Rancho Palos Verdes, CA)
- …industry related experience in a financial sales or wealth position - Will need FINRA Series 7, 65 or 66 and state insurance licenses. Preferred Skills/Experience - ... 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