- Wells Fargo (Los Angeles, CA)
- …training, military experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 or 7 and ... FINRA license(s) is required for ongoing employment in this position. FINRA Series 65 or 66 examinations or equivalent must be completed within a 90-day… more
- Wells Fargo (Beverly Hills, CA)
- …Regulatory Authority ( FINRA ) license(s) is required for ongoing employment in this position. FINRA Series 7 and 66 examinations, or equivalent must be ... + Credit risk experience + Knowledge of traditional banking products + FINRA registration including Series 7 and 66 (or FINRA recognized equivalents)… more
- Wells Fargo (Seal Beach, CA)
- …+ 2+ years of leadership experience + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 , 9, 10, and 66 (or 63 and 65) ... examinations (or FINRA recognized equivalents) sufficient to qualify for immediate ...FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration **Desired Qualifications:** + Strong client service skills… more
- City National Bank (Los Angeles, CA)
- …in investment and securities market. * Minimum of 5 years of direct client services experience required * FINRA Series 7 and 63 or 66 licenses * FINRA ... use of effective sales and communication skills. * Registered Representative with a FINRA Series 4, 53, and Series 57 preferred. *WHAT'S IN IT FOR… more
- Wells Fargo (Los Angeles, CA)
- …military experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 examinations (or FINRA ... environment **Job expectations:** + US only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position.… more
- Wells Fargo (San Jose, CA)
- …military experience, education + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 examinations (or FINRA ... environment **Job Expectations:** + US only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position.… more
- Navy Federal Credit Union (San Diego, CA)
- …industry and/or internal audits. + Perform other duties as assigned or appropriate Qualifications + FINRA Series 7 and combination of NASAA Series 63/65 ... account activity and execution in accordance with NFFG process and procedures and FINRA , NASAA, SEC regulations. + Conduct review of accounts to communicate account… more
- City National Bank (Los Angeles, CA)
- …Minimum 5 years of investment related experience * Minimum 3 years experience in investment sales * FINRA Series 7 and 63 and 65 or 66 * California Insurance ... May possess CFP, JD/LLM, CIMA or Cannon Certified Wealth Strategist designation. * FINRA Series 7 and 63 securities licenses and state insurance license… more
- US Bank (San Diego County, CA)
- …five years of experience in a financial sales position, preferably working with the affluent client segment + FINRA Series 7 and 66 or, Series 7 and ... Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank… more
- US Bank (Irvine, CA)
- …work experience - Five or years of experience in the financial services industry - Active FINRA Series 7 , 24, 53, 63 and 65/66 licenses and state insurance ... Managers, and Central Supervision - to ensure adherence to FINRA , SEC, MSRB, OCC, and internal supervisory policies and...positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the… more