- Wells Fargo (New York, NY)
- …time management and prioritization skills **Job Expectations:** + Registration for FINRA exams including Securities Industry Essentials (SIE), Series 63 ... & Environmental Finance to achieve goals **Required Qualifications:** + 7 + years of Experience in CIB Portfolio Management, or...if they are not available for transfer upon hire. FINRA recognized equivalents will be accepted + Obtaining and/or… more
- Equitable (Melville, NY)
- …or equivalent skills and work experience + **Licensing** : State Life & Health, SIE, Series 7 , Series 66 + **Personal Attributes** : values-driven with a ... work in the United States **Training & Development** + ** FINRA Sponsorship** : provided for required FINRA ...+ ** FINRA Sponsorship** : provided for required FINRA licensing + **Preliminary Employment Period (PEP)** : comprehensive… more
- Citigroup (Huntington, NY)
- …+ Required current US FINRA Registration: SIE, Series 6, 63, and 65 OR Series 7 and 66 or equivalent. + Must meet ALL US FINRA Registration ... Group 1 required. + Must obtain within 120 days of meeting all US FINRA Registration requirements if not already held. + This position requires the employee to… more
- Citigroup (Hewlett, NY)
- …+ Required current US FINRA Registration: SIE, Series 6, 63, and 65 OR Series 7 and 66 or equivalent. + Must meet ALL US FINRA Registration ... Group 1 required. + Must obtain within 120 days of meeting all US FINRA Registration requirements if not already held. + This position requires the employee to… more
- Truist (New York, NY)
- …BA/BS degree 2. Licenses Required: the SIE and the 7 Top Off (or Series 7 ... 63, Series 87 and either the Series 86 or a FINRA waiver for those ... 5. Formulates investment ideas. 6. Writes draft research commentary. 7 . Depending on experience and the needs of the...and teaming ability. 6. Strong analytical and sales skills 7 . Proven ability to work well in a fast-paced,… more
- Truist (New York, NY)
- …BA/BS degree 2. Licenses Required: the SIE and the 7 Top Off (or Series 7 ... 63, Series 87 and either the Series 86 or a FINRA waiver for those ... including non-deal roadshows, conferences, field trips, bus tours, and conference calls. 7 . Plays a key role in developing strategy and objectives for designated… more
- Raymond James Financial, Inc. (New York, NY)
- …area required or the ability to obtain within an established timeframe. o Required to have a Series 7 , 24 or willing to obtain within 120 days of employment o ... + Execution of the risk-based branch exam program in FINRA -registered and non-registered Private Client Group branches across the...Series 9 and 10 can be used instead of… more
- Truist (New York, NY)
- …passed at least 1 of the following exams: SIE; 7 Top Off (or Series 7 ... Series 63; Series 87; or Series 86 or FINRA waiver for those w/ ... completed CFA II license). * The annual base salary for this position: $180,000 - 195,000 **General Description of Available Benefits for Eligible Employees of Truist Financial Corporation:** All regular teammates (not temporary or contingent workers) working… more
- Truist (New York, NY)
- …BA/BS degree 2. Licenses Required: the SIE and the 7 Top Off (or Series 7 ... 63, Series 87 and either the Series 86 or a FINRA waiver for those ... who have completed CFA II. 3. Minimum of 5 years of related work experience or academic study beyond BA/BS. 4. Mastery of financial and accounting concepts to facilitate the creation of in-depth financial models. 5. Advanced written and oral communication… more
- Hold Brothers (New York, NY)
- …registered, and licensed with our broker-dealer in order to trade at the firm. Either, an active Series 7 and Series 55, Series 56, or 57 are required. ... About the Job: Hold Brothers Capital, LLC, is a FINRA Registered, SEC, Self-Clearing Broker Dealer. We strive to...We can provide Series 57 exam sponsorship to qualified candidates. Retail "Pattern… more