- Wells Fargo (Jacksonville, 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 (Miramar Beach, 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 (Miami, FL)
- …in Spanish is a plus but not required **Job Expectations:** + Registration for FINRA Security Industry Essentials (SIE) must be completed within 90 days of hire date ... if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted. + Registration for... recognized equivalents will be accepted. + Registration for FINRA Series 63 (or 66) must be completed within… more
- TD Bank (Fort Lauderdale, FL)
- …will:** + **Ensure ongoing compliance with the Investment Company Act of 1940, FINRA , SEC rules, and other applicable state and federal securities laws** + **Assist ... in regulatory requests and exams, and help manage responses to State, FINRA , and SEC inquiries** + **Help mitigate risk and ensure the firm meets regulatory… 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
- 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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …* SIE is required, provided that an exemption or grandfathering cannot be applied. * FINRA Series 7 required. * FINRA Series 66 or 63 & 65 required. ... * Insurance License required. * FINRA Series 24 or 9/10 preferred. more