- 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 (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
- 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
- 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
- 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
- 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
- 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
- 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
- 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
- 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