- PNC (Pittsburgh, PA)
- …valued and have an opportunity to contribute to the company's success. As a FINRA Supervisory Principal within PNC Wealth Management, you may be based in a remote ... be considered. **Education** Bachelors **Certifications** No Required Certification(s) **Licenses** FINRA Series 7, 66 (or 63/65), 24 (or 9/10)...66 (or 63/65), 24 (or 9/10) required. In addition, FINRA Series 4 and 53 required for trade review.… more
- Wells Fargo (Allentown, PA)
- …experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7, 9/10, and 66 examinations (or FINRA recognized ... the time + US Only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this...and criminal background standards. Wells Fargo will initiate the FINRA licensing review process at the time of offer… more
- Wells Fargo (Wayne, PA)
- …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 (Bensalem, PA)
- …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 (Wayne, PA)
- …banking + Experience recommending financial services products and services + Successfully completed FINRA Series 6 and 63 exams (or recognized FINRA equivalents) ... 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 (Philadelphia, PA)
- …the ability to present to and influence decision makers. + Successfully completed FINRA Series 7 and 66 (or equivalent) exams to qualify for immediate registration ... (or FINRA recognized equivalents) **Job Expectations:** + Willingness to work...and travel in market 25% of the time + FINRA Series 7 and Series 66 examinations, or equivalent… more
- TD Bank (Exton, PA)
- …years industry experience + Series 7 and 24 **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and ... May (or may not) be a registered position under FINRA . + Must be eligible for employment under standards...Must be eligible for employment under standards established by FINRA . Subject to the investigation and verification requirements of… more
- TD Bank (Exton, PA)
- …years industry experience + Series 7 and 24 **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and ... May (or may not) be a registered position under FINRA . + Must be eligible for employment under standards...Must be eligible for employment under standards established by FINRA . Subject to the investigation and verification requirements of… more
- TD Bank (Flourtown, PA)
- …learn from the expertise of other **OCC Language:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA ... May (or may not) be a registered position under FINRA . + Must be eligible for employment under standards...Must be eligible for employment under standards established by FINRA . Subject to the investigation and verification requirements of… more
- Vanguard (Malvern, PA)
- …Undergraduate degree or equivalent combination of training and experience. + Active SIE and FINRA Series 7 license, and either the Series 66 or the ability to obtain ... This job requires a regulatory license and/or registration (eg FINRA , state, SFC). These will be determined by Compliance...to equip you with the tools to take the FINRA Series 7 and 66. + A $1,500 taxable… more