• Financial Advisor, Truist Investment Services

    Truist (Ocala, FL)
    …set forth by Truist, the Financial Industry Regulatory Authority ( FINRA ), and other regulatory bodies. QUALIFICATIONS Required Qualifications: The requirements ... in Business, Accounting, Finance or Banking, or equivalent education and related experience. 2. FINRA Series 7, 66 (63 and 65 in lieu of 66) licenses. 3. Applicable… more
    Truist (07/31/25)
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  • SVP, Capital Markets Chief Compliance Officer

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …regulatory risks associated with Capital Markets activities, ensuring adherence to SEC, FINRA , FRB Bank Holding Company, and state securities regulations. + Engage ... of:** + Securities industry compliance practices, concepts, and procedures. + SEC, FINRA , FRB Bank Holding Company, and state regulatory frameworks. + Financial… more
    Raymond James Financial, Inc. (07/26/25)
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  • Mid-Level Retirement Income Specialist

    USAA (Tampa, FL)
    …maintenance or ability to acquire within 90 days of hire. + Required maintenance of FINRA Series 7 license. + Required maintenance of FINRA Series 66 (or 63 ... and 65) license. + Must be able to successfully pass background check and meet all USAA and regulatory requirements. Additionally, applicant must have the ability to be licensed and registered in all required states and jurisdictions. + 4 years of financial… more
    USAA (07/14/25)
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  • Financial Advisor

    Thrivent Financial (Destin, FL)
    …or equivalent experience. Military veterans are encouraged to apply. + Attainment of FINRA SIE, life and health licenses (licensed role only) before contracting. + ... are credentialed to provide investment advisory services. Visit Thrivent.com or FINRA 's Broker Check for more information about our financial advisors. Thrivent… more
    Thrivent Financial (07/10/25)
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  • Director Private Markets Service Agreements…

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …and coordinate Anti-Money Laundering issues and projects as needed. + Assist with FINRA regulatory filing 5130 and documenting exemptions as applicable. + Work with ... private markets products. + Legal agreement drafting and negotiation. + Relevant FINRA /SEC rules and regulations. + Principles of banking and finance and securities… more
    Raymond James Financial, Inc. (07/09/25)
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  • Wealth Regional Supervisor Specialist Team Leader

    Truist (Tampa, FL)
    …may be made to enable individuals with disabilities to perform the essential functions. + FINRA Series 7, 24, 53 and 66 licenses (Series 9&10 can be used in lieu ... experience + Experience with Envestnet, NFS/Wealthscape, Protegent/Prosurv platforms. + FINRA Series 4 license **General Description of Available Benefits for… more
    Truist (07/08/25)
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  • Advisor, Supervision Trade Review

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …and systems. + Pro-actively ensures compliance with applicable industry rules (ie State, FINRA & SEC) and platform policies and procedures as they apply to account ... the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority ( FINRA ); and state securities regulatory agencies; and/or Federal Deposit Insurance… more
    Raymond James Financial, Inc. (07/04/25)
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  • Registered Wealth Service Associate

    Citigroup (Jacksonville, FL)
    …63 required). + Ensures customer claims and complaints are handled in accordance with FINRA and firm policy. + Ensures that KYC/AML and other compliance norms are ... Knowledge of Microsoft Office (Excel, Outlook, and Word) preferred. + US Registered FINRA Series 7 & 63 Required. In addition, Series 66/65 preferred **Education:**… more
    Citigroup (07/03/25)
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  • Financial Advisor- North Central Florida Group

    Thrivent Financial (Tallahassee, FL)
    …be made to complete the process. Fingerprints will be required as part of FINRA registration process for submission to the Federal Bureau of Investigation for review ... are credentialed to provide investment advisory services. Visit Thrivent.com or FINRA 's Broker Check for more information about our financial advisors. Thrivent… more
    Thrivent Financial (06/09/25)
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  • Wealth Advisor III - Palm Beach / Boca Raton

    Truist (Jupiter, FL)
    …disabilities to perform the essential functions. * Bachelor's Degree Required * FINRA : Maintains proper licenses including Series 7, Series 66, the Securities ... Industry Essentials (SIE) Exam as applicable Life, Health, and Variable insurance licenses. Ensures that appropriate continuing education requirements are met where needed * 8 or more years of sales and client management experience in Wealth Management and a… more
    Truist (09/02/25)
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