- HUB International (Encino, CA)
- …& Private Wealth (RPW) SEC registered investment advisor and limited purpose FINRA Broker-Dealer: The Chief Compliance Officer, will be a highly visible, senior ... Risk Officer in implementing, updating, and maintaining SEC investment advisor and/or FINRA compliance policies and procedures. This means assisting in enhancing and… more
- Citigroup (Sunnyvale, CA)
- …and a goal-oriented team player able to work without direction. + Required current US FINRA Registration: SIE, Series 6, 63, and 65 OR Series 7 and 66 or equivalent. ... + Must meet ALL US FINRA Registration requirements within 150 days of starting in the role. + Insurance Group 1 required. + Must meet ALL Insurance Group 1… more
- Citigroup (San Francisco, CA)
- …Excellent verbal and written communication skills Customer service orientation. + Required: US FINRA Registration: SIE; Series 7; Series 63 + Series 65 (or Series ... + Series 10 (or Series 24, Series 4, and Series 53) + Must meet ALL US FINRA Registration requirements within 150 days of hire date. + Required: Group 1 - Life and… more
- T. Rowe Price (San Francisco, CA)
- …+ Previous experience and proven success with fundraising through Broker/Dealer relationships FINRA Requirements FINRA licenses are required and will be ... supported for this role. Work Flexibility This role is eligible for full time remote work. Base Salary Ranges Please review the job posting for the location of this specific opportunity. $179,000.00 - $324,000.00 for the location of: Maryland, Colorado,… 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
- 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
- JPMorgan Chase (Santa Ana, CA)
- …Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made available through Chase Insurance Agency, Inc. ... (CIA), a licensed insurance agency, doing business as Chase Insurance Agency Services, Inc. in Florida. JPMS, CIA and JPMorgan Chase Bank, NA are affiliated companies under the common control of JPMorgan Chase & Co. Products not available in all states. Chase… more
- JPMorgan Chase (San Francisco, CA)
- …degree, GED, or foreign equivalent. + The Securities Industry Essential (SIE) exam, FINRA Series 6, state registration (including 63 if required), and Life licenses ... are minimum requirements. All unlicensed applicants must obtain their licenses through JPMC's licensing program within 180 days of hire, study materials and support provided. + Ability to work branch hours including weekends and some evenings. **Preferred… more
- JPMorgan Chase (Arroyo Grande, CA)
- …degree, GED, or foreign equivalent. + The Securities Industry Essential (SIE) exam, FINRA Series 6, state registration (including 63 if required), and Life licenses ... are minimum requirements. All unlicensed applicants must obtain their licenses though JPMC's licensing program within 180 days of hire, study materials and support provided. + Ability to work branch hours including weekends and some evenings. **Preferred… more
- JPMorgan Chase (Los Angeles, CA)
- …the Los Angeles region + Ability to mobilize internal networks and resources + FINRA securities licenses 79, 63 and 24 required for the role + Management experience ... in a Commercial Bank setting, specifically leading cross-functional teams with a strong focus on business development. **Preferred qualifications, capabilities, and skills** + Bachelor's degree and formal credit training preferred + Strong leadership skills +… more