- Wells Fargo (St. Petersburg, FL)
- …training, military experience, education + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 , 9/10, 63 and 65 (or 66) ... role, you will:** + Act as a location Financial Industry Regulatory Authority ( FINRA ) Qualified Supervisor for one or multiple WFAFN affiliated practices. + Conduct… more
- Wells Fargo (Jacksonville, FL)
- …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
- 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 ... regulatory experience + Experience with Envestnet, NFS/Wealthscape, Protegent/Prosurv platforms. + FINRA Series 4 license **General Description of Available… more
- Equitable (Tampa, FL)
- …entry level Financial Professional meeting requirements including licensing: State Life and Health, SIE, FINRA Series 7 , 66 and have a developed client base ... + Must pass FINRA Series 24 exam prior to stepping into leadership + Ability to draw upon past/present experiences and acquaintances to develop markets and… 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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …* SIE is required, provided that an exemption or grandfathering cannot be applied. * FINRA Series 7 required. * FINRA Series ... 66 or 63 & 65 required. * Insurance License required. * FINRA Series 24 or 9/10 preferred. 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
- Truist (Weston, FL)
- …and attributes of annuity products. 5. FINRA SIE, Financial Industry Regulatory Authority ( FINRA ) Series 7 and Series 66 licenses. 6. Exceptional ... existing client, account, and product attributes that present sales potential. 7 . Provide operational guidance to Financial Advisors ranging from systems navigation… more