- Wells Fargo (North Miami, FL)
- …and partners **Desired Qualifications:** + Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 6 and Series 63 examinations (or FINRA ... sales practices risk management culture + Current registration for FINRA Series 6 and Series 63 (or FINRA... FINRA Series 6 and Series 63 (or FINRA recognized equivalents) is required for this role or… more
- Wells Fargo (Sun City Center, FL)
- …banking + Experience recommending financial services products and services + Successfully completed FINRA Series 6 and 63 exams (or recognized FINRA equivalents) ... sales practices risk management culture + Current registration for FINRA Series 6 and Series 63 (or FINRA... FINRA Series 6 and Series 63 (or FINRA recognized equivalents) is required for this role or… more
- Wells Fargo (Jacksonville, FL)
- …experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 examinations (or FINRA recognized ... environment **Job Expectations:** + US Only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position.… more
- TD Bank (Doral, FL)
- …learn from the expertise of other **OCC Language:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA ... May (or may not) be a registered position under FINRA . + Must be eligible for employment under standards...Must be eligible for employment under standards established by FINRA . Subject to the investigation and verification requirements of… more
- Equitable (Tampa, FL)
- …level Financial Professional meeting requirements including licensing: State Life and Health, SIE, FINRA Series 7, 66 and have a developed client base + Must pass ... FINRA Series 24 exam prior to stepping into leadership...+ Columbia Holistic Financial Coach Program + Sponsorship for FINRA licensing + Working closely with top leadership thru… more
- Equitable (Tampa, FL)
- …be authorized to work in the United States **Training & Development** + ** FINRA Sponsorship** : provided for required FINRA licensing + **Preliminary Employment ... it takes you to complete the company sponsored required FINRA licenses and registrations and enter PEP + **Base...social impact and community engagement. Equitable Advisors, LLC, member FINRA , SIPC, (Equitable Financial Advisors in MI and TN)… more
- Equitable (Miami, FL)
- …be authorized to work in the United States **Training & Development** + ** FINRA Sponsorship** : provided for required FINRA licensing + **Preliminary Employment ... it takes you to complete the company sponsored required FINRA licenses and registrations and enter PEP + **Stable...social impact and community engagement. Equitable Advisors, LLC, member FINRA , SIPC, (Equitable Financial Advisors in MI and TN)… more
- Navy Federal Credit Union (Pensacola, FL)
- …account activity and execution in accordance with NFFG process and procedures and FINRA , NASAA, SEC regulations. + Conduct review of accounts to communicate account ... ensuring documentation and processes comply with Navy Federal standards and FINRA , NASAA, SEC and other regulatory agencies. + Prepare standard/special reports… more
- Charles Schwab (Orlando, FL)
- …Bilingual (English & Spanish) + Prior experience supporting international clients + Active FINRA Series 7 license (May be obtained with a 120-day condition of ... or CFA(R) designation holders, verified before hire + Active FINRA Series 66 license (May be obtained within the...Portuguese in reading, writing and speaking is preferred + FINRA Series 9 & 10 licenses preferred + Superior… more
- Raymond James Financial, Inc. (Naples, FL)
- …- Uniform Combined State Law Examination - Financial Industry Regulatory Authority ( FINRA ) + s7 - General Securities Representative Examination - Financial Industry ... Regulatory Authority ( FINRA + Securities Industry Essentials Exam (SIE) - Financial...Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority ( FINRA ) + CFP(R) designation (or progress toward) strongly preferred.… more