- JPMorgan Chase (Irvine, CA)
- …to deliver bespoke solutions and exceptional client service. + The Securities Industry Essential (SIE) exam, FINRA Series 7 , and FINRA Series 66 (or ... 63 and 65) are minimum requirements. All unlicensed applicants must obtain their licenses through JPMC's licensing program within 150 days of hire, with study materials and support provided. **Preferred qualifications, capabilities, and skills** + Hold a… more
- BMO Financial Group (Santa Monica, CA)
- …and experience. + FINRA Series 6, 63 & 65 Licenses OR FINRA Series 7 & 66 licenses. + Life and Health Insurance Producer's License. + Completed ... LTC Continuing Education Requirements. + Strong working knowledge of financial industry. + In-depth experience working with managed products and providing fee-based advice. + In-depth understanding of deposit and loan (including mortgage) products and banking… more
- Charles Schwab (San Francisco, CA)
- …opportunity in Schwab Wealth Advisory. **What you have** **Required Qualifications** **:** + Active and valid FINRA Series 7 + Active and valid FINRA ... Series 66 (may be obtained with a 120-day COE) + 1-3 years of experience in the financial services industry + Bilingual proficiency in English and Mandarin is required **Preferred Qualifications** **:** + Experience servicing high net worth clients +… more
- Dunham & Associates Investment Counsel, Inc. (San Diego, CA)
- …and Regional Directors (external wholesalers) to learn the financial wholesaling business, pursue your FINRA SIE, Series 7 and Series 66 licenses, ... information, sales and marketing materials, and hypothetical illustrations. + Study for FINRA SIE, Series 7 and 66 exams (passing exams within a specified… more
- US Bank (Walnut Creek, CA)
- …with financial planning technology platforms - Proven ability to build and maintain relationships - FINRA Series 7 & 63, or willingness to obtain If there's ... 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 (Sacramento, CA)
- …of experience in a financial sales position, preferably working with the affluent client segment - FINRA Series 7 , 63, 65 or 66 license, and applicable state ... 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 (Rancho Palos Verdes, CA)
- …related experience in a financial sales or wealth position - Will need FINRA Series 7 , 65 or 66 and state insurance licenses. Preferred Skills/Experience ... 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
- City National Bank (Los Angeles, CA)
- …at a Broker Dealer * 5 or more years of management and/or supervisory experience * FINRA Series 7 , 66, and 24 *Additional Qualifications* * Bachelor's degree ... tolerance, time horizon, financial status, and other investment needs in compliance with FINRA regulations and CNS policies and procedures. * Comply with and conform… more
- MUFG (Los Angeles, CA)
- …Proficiency with S&P Capital IQ, Pitchbook, Salesforce CRM and online data room platforms + FINRA Series 7 , 63 or 79 license **Compensation & Benefits:** The ... the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities… more
- MUFG (Los Angeles, CA)
- …unstructured environment + Proactive attitude accustomed to taking initiative and solving problems + FINRA Series 7 , 63 or 79 license **Compensation & ... the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities… more