- 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
- 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 (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 (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 (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 (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
- 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
- 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
- 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
- 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