- 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
- Coinbase (Tallahassee, FL)
- …This role will provide critical support to Coinbase Capital Markets ("CCM" a FINRA member broker-dealer) in meeting its regulatory obligations to assist the Product ... with the principals to design and document the firm's supervisory structure ( FINRA Rule 3110) to effectively supervise all business activities and associated… more
- Equitable (Orlando, 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
- JPMorgan Chase (Boca Raton, FL)
- …performing Advisor team + Ability to travel 50% of the time + A valid and active FINRA Series 7, 66 (or equivalent) is required + A valid and active FINRA Series ... Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made available through Chase Insurance Agency, Inc.… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …+ **Compliance & Risk Management:** Ensure all transition activities comply with FINRA , SEC, and internal regulatory standards. Partner with Legal and Compliance ... **ability to obtain within 120 days** (as required by FINRA ), provided that an exemption or grandfathering cannot be...**ability to obtain within 120 days** (as required by FINRA ). Persons holding Series 6, 7, 17, 37 or… more
- USAA (Tampa, FL)
- …+ Experience with Virtual Technology and ability to deliver training remotely. + Current FINRA Series 7 and/or attainment within 90 days of job entry. + Current ... within 90 days of job entry. **What sets you apart:** + Current FINRA Series 7. + Current FINRA Series 63 and/or attainment within 90 days of job entry. +… 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)
- …+ Monitors regulatory compliance with internal and external groups including auditors, FINRA , IRS, SEC and others. **Knowledge of:** + Company's working structure, ... ability to obtain within 120 days (as required by FINRA ), provided that an exemption or grandfathering cannot be...ability to obtain within 120 days (as required by FINRA ). Persons holding Series 6, 7, 17, 37 or… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …+ Monitors regulatory compliance with internal and external groups including auditors, FINRA , IRS, SEC and others. Knowledge Of: + Company's working structure, ... ability to obtain within 120 days (as required by FINRA ), provided that an exemption or grandfathering cannot be...ability to obtain within 120 days (as required by FINRA ). Persons holding Series 6, 7, 17, 37 or… more
- Coinbase (Tallahassee, FL)
- …adopt additional features, services, and products. What we look for in you (ie. job requirements): * FINRA License series 7 and 63 * FINRA License 24 OR 9 AND 10 ... Wealth Management, Corporate Finance, Asset Management, FinTech or Crypto. Nice to haves: * FINRA License Series 3, 4, 65, or 66. * High level of proficiency in… more