• Co-Head of Securities Based Lending

    Wells Fargo (Irving, TX)
    7 and 24 (or FINRA recognized equivalents) **Job Expectations:** + Registration for FINRA Series 7 & 24 must be completed within a 90 or 180-day ... number of license(s) needed if not immediately available to transfer upon hire. FINRA recognized equivalents will be accepted. + For specific FINRA qualification… more
    Wells Fargo (08/15/25)
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  • Senior Supervisory Control Specialist

    Wells Fargo (Bee Cave, TX)
    …military experience, education. + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 , 9/10, and 66 examinations (or ... the activities of representatives (eg, financial advisors) to ensure their compliance with FINRA and SEC rules and regulations, as well as federal and state laws… more
    Wells Fargo (08/23/25)
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  • Investment Advisor

    Navy Federal Credit Union (North Richland Hills, TX)
    …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
    Navy Federal Credit Union (07/29/25)
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  • Director, Retail Supervision and Risk Management

    Charles Schwab (Westlake, TX)
    …have** **Required background and experience:** + Bachelor's Degree is required + Active and valid FINRA Series 7 + Active and valid FINRA Series 63 ... + Active and valid FINRA Series 8 (9/10) + 10+ years' experience in financial services focused on supervisory, risk, control, or compliance. + 10+ years'… more
    Charles Schwab (08/28/25)
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  • Lead Alternative Investment Consultant

    Wells Fargo (Dallas, TX)
    …combination of the following: work experience, training, military experience, education + Successfully completed FINRA Series 7 and 63 exams to qualify for ... immediate registration (or FINRA recognized equivalents) **Desired Qualifications:** + 4+ years of...for Visa sponsorship + This position is subject to FINRA Background Screening Requirements, including successful completion and clearing… more
    Wells Fargo (08/16/25)
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  • Regional Vice President, External Wholesaler…

    Athene (TX)
    …experience required. + Knowledge of Fixed Annuity and RILA Marketplace. + Life & Health, FINRA Series 7 and Series 63 licenses. Must have or obtain ... FINRA Licensing ( Series 6) within 6 months of employment. + Proven track record in growing a region as measured by sales results. + Demonstrated sales acuity and… more
    Athene (08/26/25)
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  • Brokerage Registered Client Service Associate…

    Truist (Fort Worth, TX)
    …features and attributes of annuity products. 5. FINRA SIE, Financial Industry Regulatory Authority ( FINRA ) Series 7 and Series 66 licenses (or 63 & ... existing client, account, and product attributes that present sales potential. 7 . Provide operational guidance to Financial Advisors ranging from systems navigation… more
    Truist (08/17/25)
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  • Financial Services Consultant - Non Registered…

    TIAA (Frisco, TX)
    …to set associates up for success. You can even receive funding, coaching and support to pass FINRA Series 6 or 7 and 63 certification exams if you are not ... or Equivalent Experience Preferred **Work Experience** + No Experience Required ** FINRA Registrations** + SRC Indicator: Series 6 or 7 ; Series 63… more
    TIAA (08/23/25)
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  • Registered National Investor Center Support…

    Citigroup (San Antonio, TX)
    …+ Knowledge of Microsoft Office (Excel, Outlook, and Word) preferred + US Registered FINRA Series 7 & 63 Required. **Education:** + Bachelor's/University ... - including margin, options, and placing unsolicited securities trades ( Series 7 & 63 required) as required...customer claims and complaints are handled in accordance with FINRA and firm policy + Ensures that KYC/AML and… more
    Citigroup (08/14/25)
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  • Wealth Managment Advisor

    US Bank (Houston, TX)
    …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
    US Bank (08/14/25)
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