- Lincoln Financial (Charlotte, NC)
- …degree or equivalent work experience ( 4 years of experience in lieu of Bachelor's) + FINRA Series License 6 - Upon Hire + FINRA Series License ... 26 - Upon Hire **Application Deadline** Applications for this position will be accepted through September 12th, 2025 subject to earlier closure due to applicant volume. **Level:** M5 The pay range for this position is $157,000 - $285,600 with **anticipated pay… more
- Raymond James Financial, Inc. (Raleigh, NC)
- …**Licenses/Certifications** * SIE required provided that an exemption or grandfathering cannot be applied. * FINRA Series 7 required. * FINRA Series 66 ... * Bachelor's Degree (BA / BS) in a related discipline and a minimum of four ( 4 ) years of experience in the financial services industry. * OR ~ * Any equivalent… more
- Truist (Greensboro, NC)
- …products for the mass affluent market. 4 . A minimum of Securities Industry Essentials (SIE), FINRA Series 6 or 7, 66 (63 and 65 in lieu of 66) and applicable ... for clients, their attorneys and Certified Public Accountants (CPAs). 4 . Meet revenue growth, profitability and retention goals by...obtained within 100-150 days of job entry date. Active FINRA licenses must be transferred within 60 days of… more
- Bank of America (Charlotte, NC)
- …independently + Communications, attention to detail, research/investigative knowledge **Desired Qualifications:** + Series 4 , Series 24 licenses preferred + ... Compliance experience and/or knowledge of financial crimes typologies + FINRA licenses including the SIE or Series ...+ FINRA licenses including the SIE or Series 7 at minimum, or related experience + Knowledge… more
- Wells Fargo (Charlotte, NC)
- …Excellent verbal, written, and interpersonal communication skills **Job Expectations:** + Registration for FINRA Series 99 must be completed within 120 days of ... of the following: work experience, training, military experience, education + 4 + years of management or leadership experience **Desired Qualifications:** + 10+… more
- Thrivent Financial (Raleigh, NC)
- …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
- Thrivent Financial (Greensboro, NC)
- …a real impact in your community. Position Requirements: * Securities registration required- SIE, Series 7 and 66 (or 7, 63 & 65) before contracting * Life, Health ... be made to complete the process. Fingerprints will be required as part of FINRA registration process for submission to the Federal Bureau of Investigation for review… more
- Edward Jones (Greensboro, NC)
- …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
- Principal Financial Group (Charlotte, NC)
- …Proficiency with MS Word and an advanced knowledge of MS Excel strongly preferred. + FINRA Series 6 licensing highly preferred or must be obtained within 6 ... 140 years! **Who You Are** + Bachelor's degree or equivalent and 4 + years of related experience required (non-qualified retirement plan, qualified retirement plan,… more
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