• Central Supervision Analyst

    TD Bank (Coral Gables, FL)
    …of Business:** TD Wealth **Job Description:** The Central Supervision Analyst is a FINRA and SEC regulatory supervisory principal position with the Central Office of ... experience required. + 5+ years of Brokerage industry experience + FINRA Series 7 Required + FINRA Series 24 Required (or FINRA Series 9/10) (Required… more
    TD Bank (07/31/25)
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  • Relationship Banker

    Wells Fargo (Port Orange, 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 (08/08/25)
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  • Relationship Banker - Cardova Bayou

    Wells Fargo (Pensacola, 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 (08/08/25)
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  • Senior Premier Banker - Sun City Branch

    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 (08/08/25)
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  • Registered Client Associate

    Wells Fargo (Ocala, 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
    Wells Fargo (08/08/25)
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  • Financial Advisor-Doral, Florida

    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
    TD Bank (07/31/25)
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  • Sr Equity Research Associate- Semiconductors

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …+ Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority ( FINRA ), Series 63_AG - Agent - Financial Industry Regulatory Authority ( ... FINRA ), Series 86 and 87_RS - Research Analyst - Financial Industry Regulatory Authority ( FINRA ) or ability to obtain within your first year. Education +… more
    Raymond James Financial, Inc. (07/30/25)
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  • Retirement Planner - Retirement Benefits Group

    Equitable (Jacksonville, 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 (08/02/25)
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  • Entry Level - Wealth Manager

    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
    Equitable (08/02/25)
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  • Investment Advisor

    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
    Navy Federal Credit Union (07/29/25)
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