- Truist (Fort Myers, FL)
- …set forth by Truist, the Financial Industry Regulatory Authority ( FINRA ), and other regulatory bodies. QUALIFICATIONS Required Qualifications: The requirements ... professional experience, including 1 year of experience in the securities industry. 3. FINRA Series 7 and 66. 4. Applicable state health and life insurance licenses,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …+ SIE required provided that an exemption or grandfathering cannot be applied. + FINRA Series 7 or 79 License is ideal, and will be required within six ... (6) months of hire. + FINRA Series 63 or the ability to obtain within six (6) months of hire. **Travel Required:** Yes, up to 20% of the Time more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …between the organization and industry committees such as SIA, FSI, and the FINRA . + Reviews compliance controls and recommends appropriate changes, as required. + ... of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority ( FINRA ); and state securities regulatory agencies. + Retail and clearing firm… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …+ **SIE required** or **ability to obtain within 120 days** (as required by FINRA ), provided that an exemption or grandfathering cannot be applied. + **Series 99 ... required,** or **ability to obtain within 120 days** (as required by FINRA ). Persons holding Series 6, 7, 17, 37 or 38 or those who hold principal-level… more
- Aegon Asset Management (FL)
- …organization. Qualifications + Bachelor's degree in a related field or equivalent business experience. + FINRA Series 6 or 7. + FINRA Series 63 or obtain within ... six months. + Retirement Plans Associate (RPA) or Charted Retirement Plan Counselor (CRPC), or obtain within 12 months. Higher certification (eg CFP, CRC, CEBS, ChFC, CIMA, CRPS) acceptable in lieu of RPA or CRPC. + Three years of financial services or related… more
- PNC (Jupiter, FL)
- …service) may be considered. **Education** Bachelors **Certifications** No Required Certification(s) **Licenses** FINRA Series 7, 66 (or 63 & 65) required. Life and ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… more
- Truist (Ocala, FL)
- …accounts. 4. Knowledge of the features and attributes of annuity products. 5. FINRA SIE, Financial Industry Regulatory Authority ( FINRA ) Series 7 and Series ... 66 licenses. (Series 63 and 65 in lieu of 66) Candidates will be considered if they currently have at least 1 of the licenses and can obtain the additional licenses during employment. 6. Exceptional telephone skills and the ability to appropriately interact… more
- Coinbase (Tallahassee, FL)
- …and resolving customers' trading related issues. *What we look for in you:* * FINRA License series 7 & 63 (will not initially be sponsoring licenses) * Motivated ... to create a community of high value Coinbase power users. *Nice to haves:* * FINRA License Series 3, 4, 65, or 66. * Knowledge of Cryptocurrency and Coinbase… more
- MUFG (Tampa, FL)
- …industry regulatory and policy-making agencies (eg, Financial Industry Regulatory Authority, or FINRA , in the US ., European Securities and markets Authority in ... the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities… more
- PNC (West Melbourne, FL)
- …may be considered. **Education** Bachelors **Certifications** No Required Certification(s) **Licenses** FINRA Series 7 and 66 (or 63,65) required. Life and Health ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… more