- Truist (New York, NY)
- …those licensed prior to October 2019), Series 63, Series 87 and either the Series 86 or a FINRA waiver for those who have completed CFA II. 3. Minimum of ... roadshows, conferences, field trips, bus tours, and conference calls. 4 . Conduct independent industry assessments and company-specific research reports....Top Off (or Series 7 for… more
- JPMorgan Chase (New York, NY)
- …hold FINRA Series 7 and one or more of the following licenses: FINRA Series 66 (63/65), 9/10 ( 4 ,24,53). + Appropriate State Life & Health Insurance ... management and private banking solutions, managing client assets worth $ 4 trillion. As a Supervisory Manager, you will be...roles within the financial sector. + In-depth knowledge of FINRA , MSRB, and SEC rules and regulations. + Strong… more
- Truist (New York, NY)
- …those licensed prior to October 2019), Series 63, Series 87 and either the Series 86 or a FINRA waiver for those who have completed CFA II. 3. Minimum of ... company valuations and inform investment recommendations (BUY, HOLD, SELL). 4 . Develop relationships and actively engage with management teams...Top Off (or Series 7 for… more
- Truist (New York, NY)
- …those licensed prior to October 2019), Series 63, Series 87 and either the Series 86 or a FINRA waiver for those who have completed CFA II. 3. Minimum of ... roadshows, conferences, field trips, bus tours, and conference calls. 4 . Conduct independent industry assessments and company-specific research reports....Top Off (or Series 7 for… more
- Principal Financial Group (New York, NY)
- …licensed): + Successful Registration as an Investment Company Products/Variable contracts Limited Representative ( FINRA Series 6 or equivalent and FINRA ... Are** + Bachelor's degree or 8 years of equivalent experience required and 4 + years retirement industry experience + Must become an associated person of Principal… more
- Wells Fargo (New York, NY)
- …Bachelor's degree in Finance, Economics, or a related field; MBA or advanced degree preferred. + Series 7, 57, 63, 24 and 4 + Candidates must be an energetic ... of the following: work experience, training, military experience, education + 4 + years of management or leadership experience **Desired Qualifications:** + Proven… more
- JPMorgan Chase (Pittsford, NY)
- …understanding of industry practices. + Valid and active Series 7, 9/10 (or 4 , 24, and 53), 66 (or 63/65) FINRA licenses, ensuring compliance with industry ... demonstrating expertise in managing and overseeing compliance efforts. + Knowledge of FINRA , MSRB, and SEC rules and regulations, ensuring adherence to industry… more
- Thrivent Financial (New York, NY)
- …you obtain your state insurance licenses (life, health & variable contracts), Series 7 and 66 registrations, and complete Thrivent's comprehensive advisor onboarding ... or equivalent experience. Military veterans are encouraged to apply. + Attainment of FINRA SIE, life and health licenses (licensed role only) before contracting. +… more
- Edward Jones (Syracuse, NY)
- …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...critically + Passion for new opportunities **Candidate qualifications:** + Series 7 and Series 66 required +… more
- JPMorgan Chase (Fayetteville, NY)
- …functional teams **Required qualifications, capabilities, and skills** + A minimum of 4 years of financial services experience + Demonstrated success in cultivating ... members while maintaining professionalism. + A valid and active Series 7 license is required or must be obtained...(JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made available through Chase… more