- Truist (Tampa, FL)
- …of regulatory experience + Experience with Envestnet, NFS/Wealthscape, Protegent/Prosurv platforms. + FINRA Series 4 license **General Description of ... **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 (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 (Orlando, 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
- 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
- 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 ... regulatory compliance with internal and external groups including auditors, FINRA , IRS, SEC and others. **Knowledge of:** + Company's...that an exemption or grandfathering cannot be applied. + ** Series 99 and Series 7 required,** or… more
- 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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …* SIE is required, provided that an exemption or grandfathering cannot be applied. * FINRA Series 7 required. * FINRA Series 66 or ... in a related discipline and a minimum of four ( 4 ) years of experience in the financial services industry....63 & 65 required. * Insurance License required. * FINRA Series 24 or 9/10… more
- 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. (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
- Truist (Weston, FL)
- …attributes of annuity products. 5. FINRA SIE, Financial Industry Regulatory Authority ( FINRA ) Series 7 and Series 66 licenses. 6. Exceptional telephone ... as tender offers, optional dividends and the exercise of warrants and rights. 4 . Schedule and confirm client appointments, enter data in SalesForce, create meeting… more