• Branch Complex Senior Manager

    Wells Fargo (Los Angeles, CA)
    …or leadership experience + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 , 9, 10, and 63 examinations (or ... FINRA license(s) is required for ongoing employment in this position. FINRA Series 9 and 10 examinations, or equivalent must be completed within 120 days.… more
    Wells Fargo (08/21/25)
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  • Senior Registered Client Associate

    Wells Fargo (Palo Alto, 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 (08/30/25)
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  • Financial Advisor Senior

    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
    City National Bank (08/07/25)
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  • JP Morgan Wealth Management - Market Director…

    JPMorgan Chase (Temecula, CA)
    …performing Advisor team + Ability to travel 50% of the time + A valid and active FINRA Series 7 , 66 (or equivalent) is required + A valid and active FINRA ... Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made available through Chase Insurance Agency, Inc.… more
    JPMorgan Chase (08/25/25)
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  • Intermediary Sales Consultant (B/D & Dcio)

    T. Rowe Price (San Francisco, CA)
    …and relevant experience AND 5+ years of total relevant work experience. + This role requires the FINRA Series 7 and Series 66 licenses. Licenses may be ... and communication skills + High attention to detail and documentation process FINRA Requirements FINRA licenses are required and will be supported for this role.… more
    T. Rowe Price (08/21/25)
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  • Wealth Management Advisor - Aptos, California

    US Bank (Aptos, 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 (06/21/25)
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  • Markets Program Analyst, Public Finance - (Los…

    Wells Fargo (Los Angeles, CA)
    …with financial markets, banking, or financial services industry. **JOB EXPECTATIONS:** + Registration for FINRA Series 7 must be completed within 90 days of ... if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted. + Registration for...if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted Wells Fargo will… more
    Wells Fargo (08/22/25)
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  • Supervision Principal

    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
    US Bank (08/08/25)
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  • VP, Financial Consultant

    Charles Schwab (Torrance, CA)
    …role is for you. **What you have** + **Required Qualifications:** + A valid and active FINRA Series 7 license required + Obtaining or acquiring FINRA ... Series 66 (63/65) license and Life & Health Insurance as it will be required during your tenure on the job. **Preferred Qualifications:** + Ability to build strong relationships, engage and encourage trust, and deepen the client relationship by applying a… more
    Charles Schwab (08/30/25)
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  • Sr. Manager, Wealth Advisor - Schwab Wealth…

    Charles Schwab (Los Angeles, CA)
    …Qualifications:** + CFP(R) designation or CFA(R) designation + Bachelor's degree + Active and valid FINRA Series 7 license + _May be obtained with a 120-day ... condition of employment_ + Active and valid FINRA Series 66 license required + _May be obtained with a 120-day condition of employment_ + Five or more years of… more
    Charles Schwab (08/28/25)
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