• Client Service Associate Senior - Registered…

    City National Bank (Los Angeles, CA)
    …* Demonstrated use of effective sales and communication skills. * Registered Representative with a FINRA Series 4 , 53, and Series 57 preferred. *WHAT'S ... and securities market. * Minimum of 5 years of direct client services experience required * FINRA Series 7 and 63 or 66 licenses * FINRA Series 24:… more
    City National Bank (08/07/25)
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  • Senior Branch Premier Banker - Yuba Plaza

    Wells Fargo (Yuba City, CA)
    …private banking + Experience recommending financial services products and services + Successfully completed FINRA Series 6 and 63 exams (or recognized FINRA ... outlined in the job expectations below **Required Qualifications:** + 4 + years of customer service experience, or equivalent demonstrated...sales practices risk management culture + Current registration for FINRA Series 6 and Series more
    Wells Fargo (08/08/25)
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  • Senior Branch Premier Banker (Safe)

    Wells Fargo (San Diego, CA)
    …private banking * Experience recommending financial services products and services * Successfully completed FINRA Series 6 and 63 exams (or recognized FINRA ... outlined in the job expectations below Required Qualifications: * 4 + years of customer service experience, or equivalent demonstrated...sales practices risk management culture * Current registration for FINRA Series 6 and Series more
    Wells Fargo (08/08/25)
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  • Branch Support Manager

    Wells Fargo (Los Angeles, CA)
    …appropriate FINRA license(s) is required for ongoing employment in this position. FINRA Series 65 or 66 examinations or equivalent must be completed within ... practices and coach on operational risk **Required Qualifications:** + 4 + years of Financial Services Industry experience, or equivalent...+ US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 or 7… more
    Wells Fargo (08/02/25)
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  • Supervisory Control Manager

    Wells Fargo (Seal Beach, CA)
    …years of leadership experience + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7, 9, 10, and 66 (or 63 and 65) ... adherence to the policies and procedures **Required Qualifications:** + 4 + years of Supervisory Control, Risk Management Consulting, Property...examinations (or FINRA recognized equivalents) sufficient to qualify for immediate … more
    Wells Fargo (07/26/25)
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  • Senior Registered Client Associate

    Wells Fargo (Los Angeles, CA)
    …military experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 examinations (or FINRA ... personnel and training for entry-level Client Associates **Required Qualifications:** + 4 + years of Brokerage and Client Services experience, or equivalent… more
    Wells Fargo (08/08/25)
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  • Financial Advisor

    Edward Jones (Oakland, CA)
    …with certain specified criminal history as set forth in Section 3(a)(39) and 15(b)( 4 ) and Rule 17a-3(a)(12) of the Securities and Exchange Act of 1934, and ... conducts background reviews consistent with FINRA Rule 3110(e). A copy of a notice regarding...+ SIE (which can be obtained without Firm sponsorship), Series 7 and Series 66 will be… more
    Edward Jones (08/03/25)
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  • Wealth Management Associate

    Equitable (Los Angeles, CA)
    …a positive impact in the lives of its clients. Our network of over 4 ,300 financial professionals across the US is committed to fostering relationships that help ... achieve meaningful financial wellness. In total, ​​Equitable​ Advisors serves 2. 4 million clients nationwide. Our mission is simple: to...experience + **Licensing** : State Life & Health, SIE, Series 7, Series 66 + **Personal Attributes**… more
    Equitable (08/02/25)
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  • Associate Financial Advisor

    Edward Jones (Irvine, CA)
    …with certain specified criminal history as set forth in Section 3(a)(39) and 15(b)( 4 ) and Rule 17a-3(a)(12) of the Securities and Exchange Act of 1934, and ... conducts background reviews consistent with FINRA Rule 3110(e). A copy of a notice regarding...+ High School Diploma/Equivalent required; Bachelor's degree preferred + Series 7 and Series 66 required, if… more
    Edward Jones (06/15/25)
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  • Merrill Financial Solutions Advisor (Partially…

    Bank of America (Sacramento, CA)
    …they need to remain vibrant and vital. **Required Qualifications:** + Currently holds FINRA Securities Industry Essentials (SIE) + 4 + years of progressive ... for the position: FDIC; Safe Act; Loan Originators; and FINRA **Responsibilities:** + Learns how to provide tailored and...professional and/or military experience + Ability to obtain Series 7 and 66 licenses within allotted program time… more
    Bank of America (07/22/25)
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