- Fifth Third Bank, NA (Cincinnati, OH)
- …required. + Ability to work with minimal supervision. + For Investment Advisors: FINRA Series 7 and 63/66 licenses preferred. Knowledge of the Securities industry ... and SEC / FINRA regulations is preferred. Business Controls Sr. Associate LOCATION -- Cincinnati, Ohio 45227 Fifth Third Bank, National Association is proud to have… more
- Edward Jones (North Ridgeville, OH)
- …be obtained at Edward Jones during the assigned paid study period. + FINRA registrations required within three months. State insurance licenses will be required. + ... are required to complete ongoing training offered by the firm and regulatory authorities ( FINRA and SEC), as well as required CE training to ensure licenses remain… more
- Thrivent Financial (Cleveland, OH)
- …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 (Dayton, OH)
- …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
- PNC (Strongsville, OH)
- …candidates will possess: - Capital Markets business background - Capital Markets FINRA reporting experience - Axiom **Job Description** + Provides solutions for IT ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… more
- Atria Wealth Solutions (Cincinnati, OH)
- …supervision EOE **Representatives are employed by and registered through CFS (Member FINRA / SIPC (http://www.sipc.org/) ). To learn more about CUSO Financial ... Services LP visit www.cusonet.com . CFS (Member FINRA /SIPC) is a registered broker-dealer and SEC Registered Investment Advisor with a stable, 25-year track record… more
- US Bank (Worthington, OH)
- …in a financial sales position, preferably working with the affluent client segment - FINRA Series 7, 63, 65 or 66 license, and applicable state insurance license ... Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank… more
- PNC (OH)
- …may be considered. **Education** Bachelors **Certifications** No Required Certification(s) **Licenses** FINRA Series 7 & 63/ Life and Health Insurance required **Pay ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… more
- Huntington National Bank (Cincinnati, OH)
- …and/or disciplinary actions; establishes/communicates group strategy. + Supervises 20-30 FINRA registered representatives, a FINRA Registered Sales Support ... Manager who manages licensed sales support associates. + Coordinates sales efforts with branch and private bank regional leadership. + Performs other duties as assigned. Basic Qualifications: + Bachelor's Degree + 5 or more years of securities industry… more
- US Bank (Broadview Heights, OH)
- …Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank ... Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures. Applicants must be able to comply with US Bank policies and procedures including the Code of Ethics and… more