- Lincoln Financial (Radnor, PA)
- …**What we're looking for** _Must-haves:_ + Exceptional communication and relationship management skills + FINRA SIE License - must obtain within 120 Days + FINRA ... Series 6 License - must obtain within 120 Days + FINRA Series 63 License - must obtain within 120 Days (if required by State) + Resident Life & Health insurance… more
- PNC (Pittsburgh, PA)
- …IL, MI, NC, SC, FL, GA, AL, TX. **Job Description** + Licensing requirements: FINRA Series 7/66 (63/65). Life & Health Insurance required. + Consults on investment ... may be considered. **Education** Bachelors **Certifications** No Required Certification(s) **Licenses** FINRA Series 7 and 66 (or 63,65) required. Life and Health… more
- Wells Fargo (Spring House, PA)
- …banking + Experience recommending financial services products and services + Successfully completed FINRA Series 6 and 63 exams (or recognized FINRA equivalents) ... to qualify for immediate registration + State Insurance license(s) + 3+ years of experience in a licensed financial services position + Customer service focus with experience handling complex transactions across multiple systems + Proficient with proactively… more
- Vanguard (Malvern, PA)
- About this job: Are you a FINRA Series 7 and 63 licensed professional with a passion for building meaningful client relationships? Join our team as a Client Transfer ... to enhance the client experience and fulfill investment needs. Qualifications: + Active FINRA Series 7 and 63 licenses. + 1-3 years of experience in financial… more
- Edward Jones (Elizabethville, PA)
- …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
- Atria Wealth Solutions (Allentown, PA)
- …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 broker-dealer and RIA with a stable, 25-year track record of serving the investment needs of credit… more
- Wells Fargo (Philadelphia, PA)
- …of the required locations listed + This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background ... to comply with 17 CRF 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be… more
- Guardian Life (Harrisburg, PA)
- …office inspections using risk-based testing methodologies to ensure compliance with FINRA Rule 3110 and, in certain circumstances, various state insurance laws. ... and initiatives. **You have** + Broad knowledge of the financial services industry and FINRA , SEC and State rules and regulations along with a familiarity of state… more
- Truist (West Chester, PA)
- …bank products for the mass affluent market. 4. A minimum of Securities Industry Essentials (SIE), FINRA Series 6 or 7, 66 (63 and 65 in lieu of 66) and applicable ... and maintained, or must be obtained within 100-150 days of job entry date. Active FINRA licenses must be transferred within 60 days of job entry date. Must be SAFE… more
- Principal Financial Group (Philadelphia, PA)
- …+ Successful Registration as an Investment Company Products/Variable contracts Limited Representative ( FINRA Series 6 or equivalent and FINRA Series 63). + ... Resident Life and Health appointment must be attained. **Salary Range Information** Salary ranges below reflect targeted base salaries. Non-sales positions have the opportunity to participate in a bonus program. Sales positions are eligible for sales… more