• Wealth Regional Supervisor Specialist Team Leader

    Truist (Tampa, FL)
    …Bachelor's degree in Finance or Business. + Minimum 2 years of regulatory experience + FINRA Series 4 license **General Description of Available Benefits for ... **Essential Duties and Responsibilities** + Manage a team of 4 - 10 Supervisors. + Provide coaching and focused...individuals with disabilities to perform the essential functions. + FINRA Series 7, 24, 53 and 66… more
    Truist (07/08/25)
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  • Wealth Regional Supervisor - Account Opening

    Truist (Orlando, FL)
    …or Business. + 7 or more years of regulatory, compliance or supervisory experience + FINRA Series 4 **General Description of Available Benefits for Eligible ... may be made to enable individuals with disabilities to perform the essential functions. + FINRA Series 7, 24, 53, and 66 licenses ( Series 9&10 can be used in… more
    Truist (08/08/25)
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  • Wealth Relationship Manager - Divisional…

    Truist (Orlando, FL)
    …or Business. + 7 or more years of regulatory, compliance or supervisory experience + FINRA Series 4 + Bilingual **General Description of Available Benefits ... may be made to enable individuals with disabilities to perform the essential functions. + FINRA Series 7, 24, 53, and 66 licenses ( Series 9&10 can be used in… more
    Truist (07/08/25)
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  • Financial Consultant, Truist Investment Services

    Truist (Tampa, FL)
    4 years professional experience, including 1 year of experience in the securities industry. 3. FINRA Series 7 and 66. 4 . Applicable state health and life ... clients with trades, requests for information, research, account problems, etc. 4 . Provide client relationship management support, including ongoing counsel and… more
    Truist (07/18/25)
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  • Senior Premier Banker - Sun City Branch

    Wells Fargo (Sun City Center, FL)
    …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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  • Compliance Supervisor - Navy Federal Financial…

    Navy Federal Credit Union (Pensacola, FL)
    …service operations to include understanding of effective member/customer service philosophy + FINRA principal registration Series 24 + FINRA registrations ... and policies + CRCP, IACCP and/or CSCP Certification + FINRA principal registration Series 53 Hours: Monday...Series 53 Hours: Monday - Friday, 8:00AM - 4 :30PM Location: 5550 Heritage Oaks Dr. Pensacola, FL 32526… more
    Navy Federal Credit Union (07/18/25)
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  • Centralized Brokerage Client Service Associate…

    Truist (Tampa, FL)
    …and attributes of annuity products. 5. FINRA SIE, Financial Industry Regulatory Authority ( FINRA ) Series 7 and Series 66 licenses. (candidates that only ... optional dividends and the exercise of warrants and rights. 4 . Schedule and confirm client appointments, enter data in...have the Series 7 or Series 66 will be considered with the understanding that… more
    Truist (07/15/25)
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  • Entry Level - Wealth Manager

    Equitable (Miami, FL)
    …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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  • Supervisor, Operations | Purchase & Sales (Trading…

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …Persons holding Series 6, 7, 17, 37 or 38 or those who hold principal-level registrations: Series 4 , 9/10, 14, 16, 23, 24, 26, 27, 28, 51, and 53 would be ... **ability to obtain within 120 days** (as required by FINRA ), provided that an exemption or grandfathering cannot be...that an exemption or grandfathering cannot be applied. + ** Series 99 required,** or **ability to obtain within 120… more
    Raymond James Financial, Inc. (07/26/25)
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  • Advisor, Supervision Trade Review

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …or grandfathering cannot be applied. + Required to have a Series 7, 9, 10 and 63 + Series 24, 53 and 4 can be used instead of the 9 and 10 + Series ... and systems. + Pro-actively ensures compliance with applicable industry rules (ie State, FINRA & SEC) and platform policies and procedures as they apply to account… more
    Raymond James Financial, Inc. (07/04/25)
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