- Truist (Westlake, TX)
- …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 (Rockwall, TX)
- …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 (Bee Cave, TX)
- …experience, education. + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7, 9/10, and 66 examinations (or FINRA ... to qualify for immediate FINRA registration **Desired Qualifications:** + 4 + years of financial services industry experience + Experience in branch office… more
- Wells Fargo (Irving, TX)
- … 7 and 24 (or FINRA recognized equivalents) **Job Expectations:** + Registration for FINRA Series 7 & 24 must be completed within a 90 or 180-day time ... of the following: work experience, training, military experience, education + 4 + years of management or leadership experience **Desired Qualifications:** +… more
- PNC (Dallas, TX)
- …**Certifications** No Required Certification(s) **Licenses** Public Finance & Healthcare - SIE, Series 52 & 63 (79 optional) within 180 days of employment. Asset ... employment. DCM (Loan Syndications & Equipment Finance) - SIE, Series 79, Series 7, and 63 within...2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain… more
- Equitable (Dallas, TX)
- …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
- Comerica (Dallas, TX)
- …IB Analysts must pass a background check and complete registration with securities industry regulator FINRA by passing the Series 7, Series 79 and Series ... defined period after matriculation; must maintain active and valid FINRA registrations for the duration of their employment Position...to guide their preparation for the applicable licensing exams ( Series 7, 79 and 63). The overall program is… more
- Wells Fargo (Dallas, TX)
- …of the following: work experience, training, military experience, education + Successfully completed FINRA Series 7 and 63 exams to qualify for immediate ... registration (or FINRA recognized equivalents) **Desired Qualifications:** + 4 + years of wholesaler or like experience in Alternative Investment product… more
- Truist (Houston, TX)
- …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
- Truist (Fort Worth, TX)
- …features and attributes of annuity products. 5. FINRA SIE, Financial Industry Regulatory Authority ( FINRA ) Series 7 and Series 66 licenses (or 63 & 65 in ... 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