- Atria Wealth Solutions (Corning, NY)
- …Potter counties, Pennsylvania, as well as their immediate family members. This role requires a FINRA series 7 licensed candidate who possesses the drive and ... (ie, Social Security, Education planning, Retirement planning, etc.) Required Qualifications: + Active Series 7 , 63/65 (or 66) licenses along with Life, Accident… more
- T. Rowe Price (New York, NY)
- …combination of education and relevant experience AND + 8+ years of total relevant work experience + FINRA Series 7 AND 63/65, OR Series 7 AND ... sophisticated communication skills + CAIS, CIMA, CFP or CFA designation(s) FINRA Requirements FINRA licenses are required and will be supported for this role.… more
- JPMorgan Chase (New York, NY)
- …Familiarity with office software applications for efficient data management and reporting. + Must hold FINRA Series 7 and one or more of the following ... precision and clarity. **Required Qualifications, Capabilities, and Skills:** + 7 years of experience in the securities/investment industry, with...licenses: FINRA Series 66 (63/65), 9/10 (4,24,53). +… more
- JPMorgan Chase (Brooklyn, NY)
- …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
- US Bank (New York, NY)
- …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
- Wells Fargo (New York, NY)
- …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
- KeyBank (Albany, NY)
- …5 years' experience in securities supervision/compliance activity within a brokerage or bank-based brokerage firm. * FINRA Series 7 , 63 & 65 (or 66), 24, and ... KIS registered representatives. **Essential Job Functions:** *Act as formally designated FINRA general principal in all regulatory capacities for activities of KIS… more
- Charles Schwab (New York, NY)
- …this 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
- Citigroup (New York, NY)
- …structures (mutual funds, SMAs, alternatives, ETFs, etc) + FINRA Securities Industry Essentials (SIE), FINRA Series 7 and Series 66 (or 65/63). + ... In-depth knowledge of wealth management services, with a focus on estate planning, tax strategies, and business succession for HNW and UHNW clients. + Strong analytical and portfolio management skills, including risk management and compliance expertise. +… more
- Raymond James Financial, Inc. (New York, NY)
- …combination of experience, education, and/or training approved by Human Resources. **Licenses/Certifications** + SIE, FINRA Series 7 , Series 55 and ... Statistics or Financial Engineering or Business and a minimum of (5) five to ( 7 ) seven years of experience in Quantitative Development & Research. ~or~ + Any… more