- TD Bank (Coral Gables, FL)
- …+ College degree or equivalent experience required. + 5+ years of Brokerage industry experience + FINRA Series 7 Required + FINRA Series 24 ... to obtain within scheduled time) + State Life & Health Insurance License (Preferred) + FINRA Series 65 or 66 (Preferred) + FINRA Series 63 (Preferred) +… more
- Truist (Orlando, FL)
- …accommodations may be made to enable individuals with disabilities to perform the essential functions. + FINRA Series 7 , 24, 53, and 66 licenses ( Series ... Qualifications:** + Bachelor's degree in Finance or Business. + 7 or more years of regulatory, compliance or supervisory...more years of regulatory, compliance or supervisory experience + FINRA Series 4 **General Description of Available… more
- Truist (Tampa, FL)
- …accommodations may be made to enable individuals with disabilities to perform the essential functions. + FINRA Series 7 , 24, 53 and 66 licenses ( Series ... Series 66) Life/Health and Variable Insurance Licensing + 7 years related retail brokerage and/or investment advisory experience...Business. + Minimum 2 years of regulatory experience + FINRA Series 4 license **General Description of… more
- Truist (Orlando, FL)
- …accommodations may be made to enable individuals with disabilities to perform the essential functions. + FINRA Series 7 , 24, 53, and 66 licenses ( Series ... QUALIFICATIONS** + Bachelor's degree in Finance or Business. + 7 or more years of regulatory, compliance or supervisory...more years of regulatory, compliance or supervisory experience + FINRA Series 4 + Bilingual **General Description… more
- Truist (Tampa, FL)
- …and attributes of annuity products. 5. FINRA SIE, Financial Industry Regulatory Authority ( FINRA ) Series 7 and Series 66 licenses. (candidates that ... only have the Series 7 or Series 66 will be considered with the understanding that the additional license will need to be obtained) 6. Exceptional telephone… more
- Navy Federal Credit Union (Pensacola, FL)
- …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
- Citigroup (Jacksonville, FL)
- …and services. + Knowledge of Microsoft Office (Excel, Outlook, and Word) preferred. + US Registered FINRA Series 7 & 63 Required. In addition, Series ... /or investment operations - including placing unsolicited securities trades ( Series 7 & 63 required). + Ensures...customer claims and complaints are handled in accordance with FINRA and firm policy. + Ensures that KYC/AML and… more
- Citigroup (Jacksonville, FL)
- …and services. + Knowledge of Microsoft Office (Excel, Outlook, and Word) preferred. + US Registered FINRA Series 7 & 63 Required. In addition, Series ... /or investment operations - including placing unsolicited securities trades ( Series 7 & 63 required). + Ensures...customer claims and complaints are handled in accordance with FINRA and firm policy. + Ensures that KYC/AML and… more
- Charles Schwab (Orlando, FL)
- …(may consider 24 month condition of employment) + Bachelor's Degree required + Active and valid FINRA Series 7 license required + Active and valid FINRA ... 66 license required (may consider a 120-day COE) + Active and valid FINRA 9/10 required (may consider a 120-day COE) + Five plus years' experience in the financial… more
- Equitable (Tampa, FL)
- …have a developed client base + Must be licensed: State Life and Health, SIE, FINRA Series 7 , 66, & 24 exams + Ability to draw upon past/present experiences ... Advisors' Virtual University + Columbia Holistic Financial Coach Program + Sponsorship for FINRA licensing + Working closely with top leadership thru 1:1 coaching +… more