- 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
- City National Bank (Los Angeles, CA)
- …tolerance, time horizon, financial status, and other investment needs in compliance with FINRA regulations and CNS policies and procedures. * Comply with and conform ... Broker Dealer * 5 or more years of management and/or supervisory experience * FINRA Series 7, 66, and 24 *Additional Qualifications* * Bachelor's degree in Business,… more
- MUFG (Los Angeles, CA)
- …with S&P Capital IQ, Pitchbook, Salesforce CRM and online data room platforms + FINRA Series 7, 63 or 79 license **Compensation & Benefits:** The typical base pay ... the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities… more
- Bank of America (Chico, CA)
- …criminal history for the position: FDIC; Safe Act; Loan Originators; and FINRA **Responsibilities:** + Learns how to provide tailored and personalized advice to ... need to remain vibrant and vital. **Required Qualifications:** + Currently holds FINRA Securities Industry Essentials (SIE) + 4+ years of progressive professional… more
- Wells Fargo (San Francisco, CA)
- …December 2025 or May/June 2026 This position may be subject to FINRA Background Screening Requirements, including successful completion and clearing of a background ... 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
- Thrivent Financial (Lakewood, CA)
- …by the Financial Advisor. Thrivent Investment Management Inc. is the sponsor for FINRA registration and Thrivent Financial for Lutherans is the sponsor for insurance ... be made to complete the process. Fingerprints will be required as part of FINRA registration process for submission to the Federal Bureau of Investigation for review… more
- Thrivent Financial (Costa Mesa, CA)
- …or equivalent experience. Military veterans are encouraged to apply. + Attainment of FINRA SIE, life and health licenses (licensed role only) before contracting. + ... are credentialed to provide investment advisory services. Visit Thrivent.com or FINRA 's Broker Check for more information about our financial advisors. Thrivent… more
- MUFG (Los Angeles, CA)
- …environment + Proactive attitude accustomed to taking initiative and solving problems + FINRA Series 7, 63 or 79 license **Compensation & Benefits:** The typical ... the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities… more
- US Bank (Aptos, CA)
- …in a financial sales position, preferably working with the affluent client segment + FINRA Series 7 and 66 or, Series 7 and 63/65 combination and applicable state ... 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
- Comerica (Costa Mesa, CA)
- …+ Series 7 and Series 63 licenses required + Willingness and ability to obtain FINRA Series 66 or 65, and resident state appropriate insurance and annuity licenses + ... 5 years of experience in customer contact + 2 years of experience in investments/brokerage industry and securities regulations + 2 years of experience in Microsoft Office Salary Range For candidates hired in the state of California, Colorado, Washington, New… more