- First National Bank of Omaha (Plano, TX)
- …within the community. + Compliance & Ethics: Uphold bank policies, laws, and FINRA /SEC regulations, ensuring compliance with the bank's BSA/AML Program as it applies ... experience. + 3 years of experience in the investment or financial services industry. + FINRA Series 7 and 66 (or Series 63 & 65) registrations. + State Life,… more
- Wells Fargo (Dallas, TX)
- …December 2025 or May/June 2026 This position may be subject to FINRA Background Screening Requirements, including successful completion and clearing of a background ... to comply with 17 CFR 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
- Wells Fargo (Houston, TX)
- …banking, or financial services industry. This position may be subject to FINRA Background Screening Requirements, including successful completion and clearing of a ... to comply with 17 CFR 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
- USAA (Plano, TX)
- …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
- PNC (Dallas, TX)
- …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 (Fort Worth, TX)
- …most successful credit union investment programs in the country. CFS (Member FINRA (http://www. finra .org/) / SIPC (http://www.sipc.org/) ) is a broker-dealer and ... the country. **Representatives are employed and registered through CFS (Member FINRA (http://www. finra .org/) / SIPC (http://www.sipc.org/) ). To learn more… more
- Thrivent Financial (San Antonio, TX)
- …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 (The Woodlands, TX)
- …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
- First National Bank of Omaha (Frisco, TX)
- …the community. + **Compliance & Ethics:** Uphold bank policies, laws, and FINRA /SEC regulations, ensuring compliance with the bank's BSA/AML Program as it applies ... experience. + 3 years of experience in the investment or financial services industry. + FINRA Series 7 and 66 (or Series 63 & 65) registrations. + State Life,… more
- Truist (Houston, TX)
- …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